Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 11, 2017 indicate that former Kentucky-based Raymond James & Associates broker/adviser Clifford Vatter was terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Vatter (CRD# 1110645).
Clifford Vatter has spent 34 years in the securities industry and was most recently registered with Raymond James & Associates in Louisville, Kentucky (2013-2017). Previous registrations include Morgan Keegan & Company in Louisville, Kentucky (2002-2013); UBS Painewebber in Weehawken, New Jersey (2000-2002); and JC Bradford & Company in New York, New York (1983-2000). He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received five customer complaints and was recently terminated from his former employer.
In 2016 a customer alleged Clifford Vatter, while employed at Raymond James & Associates, made unsuitable investment recommendations, misrepresented and omitted material facts, breached contract, acted negligently, and violated state securities laws. The complaint settled in July 2017 for $250,000.
In 2009 a customer alleged Clifford Vatter, while employed at Morgan Keegan & company, made unauthorized withdrawals and misrepresented material facts. The complaint settled for $13300.
In 2001 a customer alleged Clifford Vatter, while employed at JC Bradford & Company, misrepresented material facts and recommended unsuitable high-yield municipal bonds. The complaint settled for $250,000.
In 1999 a customer alleged he, while employed at JC Bradford & Company, made unauthorized and unsuitable purchases. The complaint settled in 2002 for $150,000.
In 1999 a customer alleged he, while employed at Bradford & Company, recommended unsuitable service merchandise bonds. The complaint resulted in an award to the customer of $30,000.
If you have lost money investing with Clifford Vatter, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.