Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 30, 2016 indicate that Iowa-based Financial West Group broker/adviser Stuart Valentine has been the subject of a customer complaint and a regulatory sanction. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Valentine (CRD# 1646981).
Stuart Valentine has spent sixteen years in the securities industry and has been registered with Financial West Group in Fairfield, Iowa since 2000. He has no previous registrations. He is a registered broker and investment adviser with 24 US states and territories.
According to his BrokerCheck report, Stuart Valentine has received one customer complaint and one regulatory sanction.
In 2013 a customer alleged Stuart Valentine, while employed at Financial West Group, over-concentrated the account and recommended risky, unsuitable investments. The complaint settled in September 2015 for $150,000.
In 1996 the National Futures Association Business Conduct Committee sanctioned Stuart Valentine following allegations he used “deceptive, misleading and unbalanced promotional materials which failed to include required disclaimers and which presented actual trading results which were unrepresentative of the performance of comparable accounts.” He also allegedly failed to supervise the use of promotional materials and failed to maintain support for profit claims in promotional materials, among other allegations. He was issued a fine of $7,500.
If you or someone you know has complaints regarding Stuart Valentine, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: 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.