Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 5, 2017 indicate that New Jersey-based National Securities Corporation broker/adviser Edward Caruth has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Caruth (CRD# 5556104).
Edward Caruth has spent nine years in the securities industry and has been registered with National Securities Corporation in Tinton Hills, New Jersey since July 2016. He was previously registered with Merrill Lynch in Allentown, Pennsylvania (2008-2016). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 2, 2008, and Series 7 (General Securities Representative Examination), which he obtained on September 8, 2008. He is a registered broker and investment adviser with 17 US states and territories: Alabama, Arizona, California, the District of Columbia, Florida, Georgia, Illinois, Maryland, Massachusetts, Michigan, Minnesota, New Hampshire, New Jersey, New York, New Mexico, North Carolina and Pennsylvania. He is registered with two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Market.
According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.
In October 2017 a customer alleged Edward Caruth, while employed at Merrill Lynch, made unsuitable investment recommendations, failed to follow instructions, misrepresented material facts, and omitted material facts related to investments in exchange traded funds from February 2009 through July 2016. The customer is seeking unspecified damages in the pending complaint.
in 2013 a customer alleged Edward Caruth, while employed at Merrill Lynch, recommended unsuitable structured products investments from 2009 through 2013. The complaint settled for more than $33,400.
If you or someone you know has complaints regarding Edward Caruth, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: 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.