Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 3, 2017 indicate that California-based Cetera Advisors broker/adviser Richard Vincent has been the subject of a customer dispute. Fitapelli Kurta is interested in speaking investors who have complaints regarding Mr. Vincent (CRD# 1609726).
Richard Vincent has spent 29 years in the securities industry and has been registered with with Cetera Advisors in Alameda, California since October 2016. Previous registrations include Investors Capital Corporation in Alameda, California; SunPoint Securities in Longview, Texas; John Hancock Distributors in Boston, Massachusetts; John Hancock Mutual Life Insurance Company in Boston, Massachusetts; and Barbarian Securities in Los Angeles, California. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with nine US states and territories: Arizona, California, Florida, Massachusetts, Nevada, Oregon, Texas, Vermont, and Washington.
According to his BrokerCheck report, Richard Vincent has received one customer complaint and one closed customer complaint.
In 2014 a customer alleged Richard Vincent, while employed at Investors Capital Corporation, recommended unsuitable investments. The complaint settled for $275,000.
In 2002 a customer alleged Richard Vincent, while employed at Investors Capital Corporation, failed to disclose the risks associated with options trading. The customer sought $14,000 in damages in the complaint, which was closed with no action taken.
If you have complaints regarding Richard Vincent, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover 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.