Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that former California-based First Allied Securities broker/adviser Lindsey Riley has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Riley (CRD# 1628861).
Lindsey Riley has spent 27 years in the securities industry and was most recently registered with First Allied Securities in Huntington Beach, California (2002-2015); Interfirst Capital Corporation in Los Angeles, California (2000-2002); National Securities Corporation in Seattle, Washington (2000); the Agean Group in Boca Raton, Florida (1998-2000); HJ Meyers & Company in Rochester, New York (1988-1998); and the Stuart-James Company (1987-1988). She has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on February 12, 1998; Series 7 (General Securities Representative Examination), which she obtained on March 21, 1987; Series 4 (Registered Options Principal Examination), which she obtained on May 29, 1997; and Series 24 (General Securities Principal Examination), which she obtained on May 27, 1992. She is currently not registered with any state or firm.
According to her BrokerCheck report, she has received two customer complaints and one pending customer complaint.
In October 2017 a customer alleged Lindsey Riley, while employed at First Allied Securities, charged excessive commissions and recommended investments that performed poorly. The customer is seeking $85,000 in damages in the pending complaint.
In 2005 a customer alleged Lindsey Riley, while employed at First Allied Securities, breached her fiduciary duty. The complaint settled for $30,000.
In 2002 a customer alleged Lindsey Riley, while employed at Interfirst Capital Corporation, acted recklessly and negligently, churned investments, breached her fiduciary duty, created margin debts, failed in her supervisory duties, executed unauthorized trades, unlawfully allocated stock, misrepresented and omitted material facts, breached contract, and recommended unsuitable investments. The complaint settled in 2004 for $90,000.
In 2002 a customer alleged she, while employed at the Agean Group, misrepresented material facts and breached her fiduciary duty. The customer sought $32,300 in damages in the complaint, which was denied.
If you or someone you know has a complaint regarding Lindsey Riley, call the attorneys at 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.