Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 28, 2018 indicate that Virginia-based Cambridge Investment Research broker/adviser Alan Dole has received pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dole (CRD# 4904989).
Alan Dole has spent 13 years in the securities industry and has been registered with Cambridge Investment Research in Henrico, Virginia since 2011. Previous registrations include Sanders Morris Harris in Richmond, Virginia (2008-2011); QA3 Financial Corporation in Richmond, Virginia (2005-2008); and National Planning Corporation in Los Angeles, California (2005). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 8, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 3, 2005; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on December 5, 2006; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 1, 2005. He is a registered broker and investment adviser with 19 US states and territories: Alabama, Arizona, California, Connecticut, Florida, Georgia, Idaho, Kansas, Maryland, Michigan, Missouri, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Texas, and Virginia.
According to his BrokerCheck report, he has received two pending customer complaints.
In October 2018 a customer alleged Alan Dole, while employed at Cambridge Investment Research, recommended unsuitable investment strategies that resulted in losses. The customer is seeking $350,000 in damages in the pending complaint.
In December 2018 a customer alleged Alan Dole, while employed at Cambridge Investment Research, violated the Virginia Securities Act, breached his fiduciary duty, acted negligently, breached contract, and violated FINRA rules. The customer is seeking more than $497,600 in damages in the pending complaint.
If you have complaints regarding Alan Dole, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recover your losses. All cases are taken on a contingency basis: we only get paid if and when you collect money. The law sets a limited window to file complaints, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.