Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 9, 2016 indicate that former California-based RP Capital broker Aaron Maurer, also known as Doug Maurer, has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Maurer (CRD# 3007121).
Aaron Maurer has spent 12 years in the securities industry and was most recently registered with RP Capital in Aliso Viejo, California (2009-2016). Previous registrations include TD Ameritrade in Portland, Oregon; Morgan Stanley DW in Purchase, New York; Automated Trading Desk Brokerage Services in Mt. Pleasant, South Carolina; Chicago Securities Group in Chicago, Illinois; Burke Christensen & Lewis Securities in Chicago, Illinois; and Madison Securities in Chicago, Illinois. He is currently not registered with any state or firm.
According to his BrokerCheck report, Aaron Maurer has received one customer complaint and three pending customer complaints.
In July 2016, a customer alleged Aaron Maurer, while employed at RP Capital, acted negligently, misrepresented material facts, and omitted material facts with respect to the sale of a private placement. The customer is seeking $350,000 in damages in the pending complaint.
In June 2016, a customer alleged Aaron Maurer, while employed at RP Capital, recommended unsuitable investments, committed fraud, and failed to conduct proper due diligence. The customer is seeking $1,810,000 in damages in the pending complaint.
In April 2016, a customer alleged Aaron Maurer, while employed at RP Capital, over-concentrated investments, made unsuitable recommendations, breached his fiduciary duty, misrepresented and omitted material facts, and failed to supervise. The customer is seeking $600,000 in damages in the pending complaint.
In 2013, a customer alleged Aaron Maurer, while employed at RP Capital, invested assets in unsuitable securities. The complaint settled in 2014 for $10,524.
If you have complaints regarding Aaron Maurer, also known as Doug Maurer, call the securities and investment fraud law firm 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.