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Ronald Richer Received a Complaint for Churning Investments

Ronald Richer

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 27, 2017 indicate that New York-based Garden State Securities broker Ronald Richer has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Richer (CRD# 2988381).

Ronald Richer has spent 19 years in the securities industry and has been registered with Garden State Securities in New York, New York since 2014. Previous registrations include Global Arena Capital in New York, New York; Clark Dodge & Company in New York, New York; Westrock Advisors in New York, New York; InvestPrivate in New York, New York; Berry-Shino Securities in Scottsdale, Arizona; and Solid ISG Capital Markets in New York, New York. He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 4 (Registered Options Principal Examination); and Series 24 (General Securities Principal Examination). He is a registered broker with 40 US states and territories.

According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints.

In March 2017 a customer alleged Ronald Richer, while employed at Garden State Securities, churned investments and recommended unsuitable investments in equity listed and options products. The customer is seeking $50,775 in damages in the pending complaint.

In 2016 a customer alleged Ronald Richer, while employed at Garden State Securities, made unauthorized transactions, failed in his supervisory duties, and acted negligently. The customer is seeking $150,000 in damages in the pending complaint.

In 2012 a customer alleged Ronald Richer, while employed at Global Arena Capital, recommended unsuitable products. The complaint settled for $4,900.

If you or someone you know has a complaint regarding Ronald Richer, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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