RICHARD LYNN PITTMAN (RICHARD L PITTMAN, RICK PITTMAN) CRD#: 2845145, according to the Financial Industry Regulatory Authority’s (FINRA) BrokerCheck, had a Customer Dispute filed against him in September of 2019. RICHARD LYNN PITTMAN is currently a financial advisor with CETERA ADVISORS LLC, of Memphis, Tennessee.
According to FINRA’s records, the pending dispute filed in September of 2019, was from a client of INVESTORS CAPITAL CORPORATION, of Memphis, Tennessee, alleging that the investments made were in limited partnerships in 2008 resulting in client losses. The allegations listed on BrokerCheck were, “Alleged suitability of investments made in 2008.” The client is seeking damages of $150,000.
RICHARD LYNN PITTMAN was with Investors Capital Corporation from August of 2000 until October of 2016. Pittman has been with Cetera Advisors since October 3, 2016.
According to FINRA’s BrokerCheck, RICHARD LYNN PITTMAN has 4 Customer Disputes on his CRD report. Of the three additional past Customer Disputes, all have settled.
In October of 2018, a Customer Dispute settled for $45,000 over “Alleged suitability of investments made in 2008.”
In August of 2018, another Customer Dispute was settled from a client of Investors Capital Corporation, the settlement amount was $95,000. The allegations, according to FINRA’s BrokerCheck were, “Suitability of investments made approximately 10 years ago, in 2008."
In October of 2016, a Customer Dispute on RICHARD LYNN PITTMAN’s BrokerCheck report was settled by Investors Capital Corporation. They paid one of their clients $75,000 following allegations that, “Based on current performance, client alleges that investments made in 2008 were unsuitable.”
According to FINRA’s BrokerCheck, RICHARD LYNN PITTMAN has been in the securities industry for 23 years and was listed with 4 firms. He is currently with:
CETERA ADVISORS LLC
8275 TOURNAMENT DR SUITE 170
MEMPHIS, TN 38125
Pittman was previously listed with:
08/08/2000 - 10/03/2016 INVESTORS CAPITAL CORP - MEMPHIS, TN
If you’ve experienced financial losses due to the actions or recommendations of RICHARD LYNN PITTMAN, currently with CETERA ADVISORS LLC, formerly of INVESTORS CAPITAL CORPORATION, both of Memphis, TN, contact Soreide Law Group for a free consultation with an attorney to determine the possibility of recovering your losses at: 888-760-6552.
Soreide Law Group works on a contingency fee basis and represents clients nationwide before FINRA.
A customer arbitration over investments bought in 2014 appears on Randall Mason's BrokerCheck report, and it ended in an award. Mason (CRD 1758777) denied the customer's unsuitability allegations in a statement on BrokerCheck. A second customer raised similar allegations in an earlier claim, which settled. Both disputes name Parkland Securities as the firm.
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