Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 7, 2019 indicate that Florida-based Capital Financial Services broker/adviser William Gordon has received several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gordon (CRD# 2127800).
William Gordon ha spent 26 years in the securities industry and has been registered with Capital Financial Services in Clearwater, Florida since 2010. Previous registrations include Investors Capital Corporation in Clearwater, Florida (1998-2010); JW Cole Financial in Clearwater, Florida (2008); Aragon Financial Services in Irvine, California (1996-1998); The Investment Center in Bedminster, New Jersey (1995); SunAmerica Securities in Phoenix, Arizona (1995); MetLife Securities in Springfield, Massachusetts (1991-1994); and the Metropolitan Life Insurance Company in New York, New York (1991-1994). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 23, 1996; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on March 4, 1994; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 29, 1991; and Series 24 (General Securities Principal Examination), which he obtained on January 14, 1998. He is a registered broker and investment adviser with 13 US states and territories: Arizona, Connecticut, Florida, Illinois, Maryland, New Jersey, New York,North Carolina, Ohio, Pennsylvania, South Carolina, Texas, and Virginia.
According to his BrokerCheck report, he has received twelve customer complaints and one pending customer complaint.
In January 2019 a customer alleged William Gordon, while employed at Capital Financial Services, misrepresented and omitted material facts, breached his fiduciary duty, and recommended unsuitable investments in products including variable annuities, corporate bonds, mutual funds, and real estate securities. The customer is seeking $200,000 in damages in the pending complaint.
In 2012 a customer alleged William Gordon, while employed at Investors Capital Corporation, recommended unsuitable investments. The complaint settled for $109,500.
In 2011 a customer alleged William Gordon, while employed at Investors Capital Corporation, made unsuitable investment recommendations in real estate securities and direct investments. The complaint settled for $371,946.
In 2010 a customer alleged he, while employed at Investors Capital Corporation, engaged in unspecified conduct regarding an investment in multiple alternative investments. The complaint settled for $1,060,000.
In 2009 a customer alleged he, while employed at Investors Capital Corporation, acted negligently, breached his fiduciary duty, and committed fraud. The complaint resulted in an award to the customer of more than $150,900.
If you or someone you know has lost money investing with William Gordon, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: 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.