Published on:

Cathy Shattuck: Under Scrutiny With Four Customer Complaints

Cathy ShattuckPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 30, 2016 indicate that Washington-based RBC Capital Markets broker/adviser Cathy Shattuck has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Shattuck (CRD# 1822443).

Cathy Shattuck has spent 28 years in the securities industry and has been registered with RBC Capital Markets in Bainbridge Island, Washington since 2003. Previous registrations include Citigroup Global Markets in New York, New York (1994-2003) and Prudential Securities in New York, New York (1988-1994). She is a registered broker and investment adviser with fourteen US states: Alaska, Arizona, California, Colorado, Hawaii, Idaho, Illinois, Missouri, Nevada, Ohio, Oregon, Rhode Island, Tennessee, and Washington.

According to his BrokerCheck report, Cathy Shattuck has received four customer complaints and three denied customer complaints.

In 2009 a customer alleged Cathy Shattuck, while employed at RBC Capital Markets, should not have advised her to sell Apple stock. The customer sought $5,919 in damages in the complaint, which was denied.

In 2003 a customer alleged Cathy Shattuck, while employed at Smith Barney, recommended unsuitable investments and purchased E-Toy stock when she was in fact inquiring about E-Bay stock. The complaint settled in 2004 for $12,500.

In 2002 a customer alleged Cathy Shattuck, while employed at Citigroup Global Markets, made unsuitable investment recommendations. The complaint settled in 2003 for $67,500.

In 2002 a customer alleged Cathy Shattuck, while employed at Salomon Smith Barney, grossly mismanaged her account. The customer sought $100,000 in damages in the complaint, which was denied.

In 2002 a customer alleged Cathy Shattuck, while employed at Salomon Smith Barney, made unsuitable recommendations. The complaint settled for $9,900.

In 1995 a customer alleged Cathy Shattuck, while employed at Prudential Securities, advised her to withdraw funds without fully disclosing surrender charges and fees. The complaint settled for more than $10,800.

If you or someone you know has lost money investing with Cathy Shattuck, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.