Investors apparently complained about securities broker Scott Edward Oliphant [CRD: 4551455, Columbus, Indiana], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Oliphant worked for CFD Investments Inc. from November 14, 2005, to December 19, 2019, Creative Financial Designs Inc. from October 22, 2019, to December 19, 2019, Cetera Advisors LLC from December 18, 2019, to March 21, 2024, and he has been registered with Cetera Investment Advisers LLC since March 21, 2024. Readers may want to continue reading to discover more about client disclosures involving Oliphant’s securities-related activities.
Notably, on June 10, 2025, a CFD Investments Inc. client filed FINRA Arbitration No. 25-01178 regarding Scott Oliphant. Mainly, the client alleged that Oliphant made unsuitable recommendations and breached a contract. Because of this, the client allegedly sustained damages connected to real estate securities. Therefore, the client requested $422,000 in compensation from CFD Investments Inc. or Oliphant. It appears that this arbitration is pending a resolution.
Particularly, a client of CFD Investments Inc. disputed Scott Oliphant’s sales practices, according to a complaint dated May 23, 2023. Allegedly, Oliphant made misrepresentations in connection with fixed annuities. It appears that Oliphant allegedly caused the client to incur damages of $33,000 based on anticipated gains. As a result, the client sought compensation from CFD Investments Inc. or Oliphant in this matter, which was later denied on June 12, 2023.
Specifically, a client of CFD Investments Inc. contested Scott Oliphant’s sales practices by filing FINRA Arbitration No. 23-00134. Allegedly, Oliphant overconcentrated accounts, made unsuitable recommendations, breached his fiduciary duty, breached a contract, was negligent, made misrepresentations and omissions, and negligently supervised representatives. It appears that Oliphant allegedly caused the client to sustain damages relating to real estate securities. Consequently, CFD Investments Inc. opted to settle the matter on September 3, 2025, by compensating the client in the amount of $94,500.
Did you suffer any investment-related losses because of Scott Oliphant? If so, reach out to Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee arrangement and advances all costs. Oliphant and brokerage firms Oliphant worked for deny accusations of sales practice violations.
Investors have reportedly disputed the sales practices of securities broker Mark James Bloom [CRD: 6933619, Atlanta, Georgia], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark Bloom worked for Avantax Investment Services Inc. and Avantax Advisory Services from March 26, 2021, to September 5, 2025, and later registered with Cetera Wealth […]
Investors potentially incurred losses because of securities broker Raymond Edward DesRosiers (also known as Ray DesRosiers) [CRD: 4621826, Greenwich, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DesRosiers worked for Emerson Equity LLC from March 24, 2017, to May 2, 2022, WealthForge Securities LLC from May 6, 2022, to March 1, […]
Investors potentially experienced sales practice violations by securities broker Shannon Dwain Moore [CRD: 2934682, Jefferson City, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shannon Moore has worked for LPL Financial LLC since October 11, 2011, where he has been registered while serving clients in Tennessee. Investors should continue reviewing the information […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com