Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 22nd, 2016 report that Virginia-based Capital One Investing broker/adviser Anoput Phimmasone is the subject of several customer complaints. The securities and investment fraud law firm is interested in speaking to investors who have complaints regarding Mr. Phimmasone (CRD# 1837043).
Anoput Phimmasone has spent 27 years in the securities industry and has been registered with Capital One Investing in McLean, Virginia since 2013. Previous registrations include: Capital One Investment Services in McLean, Virginia; Wells Fargo in Manassas, Virginia; Infinex Investments in Arlington, Virginia; RBC Capital Markets in McLean, Virginia; Ferris Baker Watts in McLean, Virginia; Wachovia Securities in Washington, DC; First Union Brokerage Services in Charlotte, North Carolina; Wheat First Securities in Charlotte, North Carolina; Prudential Securities in New York, New York; Lehman Brothers in New York, New York; Merrill Lynch in New York, New York; and FN Wolf & Company. He is a registered broker and investment adviser in ten US states and territories.
According to his BrokerCheck report, Anoput Phimmasone is the subject of three customer complaints and one pending customer complaint. He was additionally terminated from his position at Prudential Securities.
In January 2016 a customer filed a complaint against Anoput Phimmasone, while he was employed at Wells Fargo Advisors, alleging “he was unaware of facts regarding the annuity prior to purchase.” The customer is seeking damages exceeding $5,600 in the pending complaint.
In 2007 a customer alleged Anoput Phimmasone, while employed at Wachovia Securities, did not disclose a sales charge totaling about $6,000 on a unit investment trust purchase. The complaint settled for more than $5,600.
In 1999 a customer alleged Anoput Phimmasone, while employed at First Union Securities, misrepresented material facts related to undiversified and unsuitable investments in CAI Wireless and PHP. The complaint settled for $9,900.
In 1998 a customer alleged Anoput Phimmasone, while employed at Wheat First Securities, mishandled investments. The complaint settled in 1999 for $7,500.
In 1995 Anoput Phimmasone was discharged from his position at Prudential Securities following allegations he permitted other employees to engage in commodity transactions in his commodities account.
If you or someone you know has a complaint regarding Anoput Phimmasone, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup losses. Fitapelli Kurta accepts every case on contingency: we only get 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.