Soreide Law Group is investigating possible investor claims on behalf of those who incurred losses through securities broker Rahn Stuart Lund [CRD: 1462843, Rochester, Minnesota]. Evidently, Lund has worked for Stifel Nicolaus Company Incorporated since March 8, 2012. Continue reading to learn more about Rahn Lund's disclosures.
Specifically, on February 21, 2023, a Stifel Nicolaus client filed a complaint about Rahn Lund. Supposedly, Lund omitted information regarding a variable annuity, on which the death benefit lapsed. Because of this, the client allegedly sustained damages on variable annuities. Therefore, the client requested $319,000 in compensation from RBC Capital Markets LLC or Lund. However, this complaint was closed without further action taken by the investor.
Also, a client of RBC Capital Markets LLC contested Rahn Lund's sales practices, according to a complaint. Allegedly, Lund conducted unsuitable and unauthorized trading in her account from June 2011 through March 2012. It appears that Lund caused the client to sustain damages on structured products. Therefore, RBC Capital Markets LLC opted to settle the matter on December 31, 2012, by compensating the client in the amount of $10,000.
Particularly, on June 28, 2012, an RBC Capital Markets LLC client filed a complaint about Rahn Lund. Evidently, the client, who asked for safe investments, alleged that Lund caused her to lose more than the client invested. However, this complaint was denied.
Did you experience damages because of securities broker / financial advisor Rahn Lund? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Lund and the brokerage firms he worked for deny accusations of sales practice violations.
Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gregory Alan Corrie [CRD: 1982814, Boise, Idaho]. Corrie, who worked for firms including Cambridge Investment Research, Inc. from January 2020 to March 2023 and Cetera Advisors LLC from November 2017 to November 2019, is the subject of multiple adverse disclosures. Recent regulatory actions and […]
Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker William Charles Burks II (also known as Bill Burks) [CRD: 2944992, Flower Mound, Texas]. William Burks has been registered with Centaurus Financial, Inc. since 2000 and has amassed over 27 years of experience in the securities industry. Recent disclosures reveal concerns about Burks’ conduct, […]
Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Luke M. Johnson (also known as Luke Johnson) [CRD: 3257008, Scottsdale, Arizona]. Johnson worked for Coastal Equities, Inc. from April 2012 to December 2019. Recent disclosures reveal concerns about Johnson’s conduct, including allegations of unsuitable recommendations, misrepresentation, and regulatory violations. Coastal Equities Client Files […]
Phone:
Fax: 1-954-760-6553
Email: [email protected]