Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gene Tulley West Jr. (CRD: 1569050, Greenwood Village, Colorado). West has been registered with RBC Capital Markets LLC since March 2, 1998, and has over 38 years of experience in the securities industry.
Recent disclosures reveal concerns about West’s conduct, including allegations of unsuitable investment recommendations and misrepresentation.
On December 15, 2023, a client of RBC Capital Markets LLC filed a FINRA arbitration claim (Case No. 23-03532) against Gene West, alleging that he recommended the use of margin to achieve liquidity but “downplayed the risk” associated with margin accounts during the 2022-2023 period. The client sought damages of $100,000. The claim settled with no monetary compensation paid to the client.
Previously, on May 9, 2005, a client of RBC Dain Rauscher filed a dispute alleging that unsolicited trades in Ultimate Electronics put options and stock were unsuitable. The client sought $181,757.88 in damages. The dispute settled on November 15, 2005, through a settlement, with $85,000 paid to the client, including a $25,000 individual contribution from West.
If you have concerns regarding investments with Gene West, reach out to Soreide Law Group online or at (888) 760-6552 to consult with a securities attorney. Soreide Law Group works on a contingency basis, advances all costs, and assists investors across the country with recovering losses from sales practice misconduct. West and RBC Capital Markets LLC deny allegations of sales practice violations.
ADAM EDWARD BRUNIN (ADAM E BRUNIN, ADAM BRUNIN) is currently registered as an investment advisor with Navigation Wealth Management of Ft. Collins, Colorado since 4/5/2016. ADAM E BRUNIN was previously registered as a broker with Sigma Financial Corporation of Ft. Collins, Colorado from 11/08/2005 - 02/22/2016, and as an investment advisor with SPC of Ft. […]
Investors reportedly may have incurred losses because of securities broker Daniel Reid Horowitz [CRD: 2681741, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Horowitz has worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since April 1, 2016. Read on to learn more about the disclosures concerning […]
Investors potentially experienced losses due to securities broker Craig Sherman Thistlethwaite [CRD: 2507050, Perrysburg, Ohio], according to disclosures on FINRA BrokerCheck. According to the regulator, Thistlethwaite worked for Morgan Stanley from June 1, 2009, to February 16, 2023. Here’s more about the securities broker’s disclosures. Ohio Division of Securities Charged Thistlethwaite With Violations Particularly, on […]
Phone:
Fax: 1-954-760-6553
Email: [email protected]