Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that former Rhode Island-based Santander Securities broker/adviser David Risch was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Risch (CRD# 4565820).
David Risch has spent 13 years in the securities industry and was most recently registered with Santander Securities in Middletown, Rhode Island (2015-2017). Previous registrations include Park Avenue Securities in Rockland, Massachusetts (2012-2015); Edward Jones in Marion, Massachusetts (2009-2012); Merrill Lynch in Hyannis, Maryland (2007-2008); MetLife Securities in Providence, Rhode Island (2005-2007); Metropolitan Life Insurance Company in Providence, Rhode Island (2005-2007); and Capital Brokerage Corporation in Richmond, Virginia (2002-2004). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 1, 2005; Series 7 (General Securities Representative Examination), which he obtained on December 18, 2002; and Series 24 (General Securities Principal Examination), which he obtained on May 9, 2003. He is currently not registered with any state, firm or self-regulatory organization.
According to his BrokerCheck report, he was recently discharged from his former employer in connection to alleged rule violations and has listed five financial disclosures.
In October 2017 he was terminated from his position at Santander Securities following allegations he participated in an unapproved outside business activity.
In 2015 he paid $2,000 to settle a debt of $2,500 with Capital One.
In 2015 he paid $6,224.70 to settle a debt of $8,882 with Capital One.
In 2015 he paid $4,500 to settle a debt of $8,202 with Capital One.
If you or someone you know has complaints regarding investments made with David Risch, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect 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.