The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding New York-based brokerage firm RIM Securities, LLC (CRD# 18466).
Formed in 2001, RIM Securities is headquartered in New York, New York and registered in 51 US states and territories. It operates as a subsidiary of City National Bank. Garrett Richard Dalessandro is President and Chief Executive Officer; Mitchell Daniel Cepler is Chief Financial Officer and Financial Operations Principal; Scott Nathan Brody is Chief Compliance Officer; Kurt Alexander Hawkesworth is Secretary, Chief Operating Officer, and General Counsel.
According to the firm’s BrokerCheck report, RIM Securities is the subject of three regulatory sanctions and one customer complaint that evolved into arbitration.
In 1998 a customer alleged RIM Securities misrepresented material facts related to an investment in common stock. In 2000 the complaint resulted in an award to the customer of $2,793.
In 1997 the State of New Hampshire sanctioned RIM Securities following allegations the firm executed securities transactions without proper licensure in the state. RIM Securities was issued a fine of $6,000.
In 1996 the State of New Mexico Securities Division sanctioned RIM Securities following allegations the firm executed securities transactions prior to registering with the state. RIM Securities was censured and issued a fine of $3,840.
In 1994 the Alabama Securities Commission sanctioned RIM Securities following allegations the firm transacted securities business prior to obtaining registration in the state. RIM Securities was issued a fine of $3,500.
If you have complaints regarding RIM Securities, 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. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you recover money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.