Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that Utah-based Wells Fargo Clearing Services broker/adviser Cynthia Laroche has received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Laroche (CRD# 1183365).
Cynthia Laroche has spent 34 years in the securities industry and has been registered with Wells Fargo Clearing Services in Park City, Utah since 2003. Previous registrations include Prudential Securities in New York, New York (1996-2003); Painewebber in Weehawken, New Jersey (1988-1996); Shearson Lehman Brothers (1985-1988); Merrill Lynch (1984-1985); and Wespac Securities Corporation (1983-1984). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on March 10, 2003; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on March 14, 1984; Series 3 (National Commodity Futures Examination), which she obtained on February 27, 1998; and Series 7 (General Securities Representative Examination), which she obtained on September 7, 1983. She is a registered broker and investment adviser with 13 US states and territories: Arizona, California, Colorado, Florida, Illinois, Kansas, Michigan, Nebraska, Nevada, New Mexico, Ohio, Oregon, and Utah. She is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to her BrokerCheck report, she has received two customer complaints.
In April 2017 a customer alleged Cynthia Laroche, while employed at Wells Fargo Advisors, manipulated and churned her account. The complaint settled in August 2017 for $40,000.
In 1992 a customer alleged Cynthia Laroche recommended unsuitable investments that resulted in losses and executed unauthorized trades. The complaint resulted in an award to the customer of $30,000.
If you or someone you know has a complaint regarding Cynthia Laroche, call the attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect 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.