Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 6, 2017 indicate that Kansas-based Dominion Investor Services Richard Cumley has been named in a pending FINRA investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cumley (CRD# 1727165).
Richard Cumley has spent 29 years in the securities industry and has been registered with Dominion Investor Services in Overland Park, Kansas since March 2017. Previous registrations include Securities America in Overland Park, Kansas; Sunset Financial Services in Overland Park, Kansas; Cambridge Investment Research in Fairfield, Iowa; Cornerstone Investments in Topeka, Kansas; Securities America in La Vista, Nebraska; Walnut Street Securities in El Segundo, California; Northwestern Mutual Investment Services in Milwaukee, Wisconsin; Robert W. Baird & Company in Milwaukee, Wisconsin; MetLife Securities in Springfield, Massachusetts; and Metropolitan Life Insurance in New York, New York. He is currently not registered with any US state or territory.
According to his BrokerCheck report, Richard Cumley has been named in a pending customer complaint and a pending FINRA investigation.
In June 2016 Richard Cumley was named in an investigation connected to allegations that clients “were not aware that an REIT could lose value.” The investigation remains pending.
In 2016 a customer alleged Richard Cumley, while employed at Sunset Financial Services, breached his fiduciary duty, acted negligently, and committed fraud in connection to investments in real estate securities. The customer is seeking $207,000 in damages in the pending complaint.
If you or someone you know has complaints regarding Richard Cumley, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.