Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 11, 2018 indicate that California-based Investment Architects broker/adviser Anthony Duckworth is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Duckworth (CRD# 1865790).
Anthony Duckworth has spent 29 years in the securities industry and has been registered with Investment Architects in Petaluma, California since 1988. He has no previous registrations. He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 13, 2008; Series 7 (General Securities Representative Examination), which he obtained on August 20, 1988; and Series 24 (General Securities Principal Examination), which he obtained on October 3, 1988. He is a registered broker and investment adviser with one US state (California) and one self-regulatory organization (FINRA).
According to his BrokerCheck report, he has received one pending customer complaint.
In November 2017 a customer alleged Anthony Duckworth, while employed at Investment Architects, failed in his supervisory duties over a former registered representative who executed excessive trades in the account. The customer is seeking $1,250,000 in damages in the pending complaint. Mr. Duckworth’s “Broker Comment” on the disclosure reads in part: “The arbitration claims that client Zane had a gambling problem, and that former representative James King allowed Zane to trade excessively in his accounts resulting in losses. Client claims that King and his support staff allowed this trading to happen while aware of this gambling problem and should have prevented it. Further, that broker dealer Investment Architects, Inc., and related control persons should have been aware of the problem and prevented it. The arbitration claim is vague and without details. We can find no accounts at Investment Architects for this client or his family, except one variable annuity account which has gained in value and has not been traded by client. Mr. King has not been associated with Investment Architects since early 2015, however during the time frame of this arbitration’s claims he maintained a separately SEC registered Investment Advisor, JP King & Associates.”
If you or someone you know has a complaint regarding Anthony Duckworth, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.