The Financial Industry Regulatory Authority (FINRA) records reveal that Richard Lynn Pittman, a financial advisor from Cetera Advisors, is involved in a customer dispute and has had three disputes in the past. Also, Haselkorn and Thibaut, national investment fraud lawyers, have started an investigation into Mr. Pittman.
FINRA maintains diligent records regarding customer complaints, disputes, and sanctions leveled concerning mismanagement of funds by stockbrokers and brokerage firms.
The agency is a licensing and regulatory body that also mandates that firms reveal information about personal bankruptcies, judgments, and liens.
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Before being in the service of Cetera Advisors from October 2016, Richard L. Pittman was working with Investors Capital Corp. from August 2000.
In September 2019, a customer of Investors Capital Corp. filed a case with the Financial Industry Regulatory Authority, Case No. 19-02785, and alleged that the investments made in limited partnerships in 2008 resulted in losses. The customer has sought damages amounting to $150,000. The case is still open.
In August 2019, another customer of the same investment company was paid $45,000 in damages over allegations of unsuitable investments that were made in 2008. In the same month, yet another customer of Investors Capital Corp. was paid damages of $95,000 to settle a case of unsuitable investments made in 2008.
In June 2018, Investors Capital Corp. paid one of its customers $75,000 over allegations of unsuitable investments from 2008.
Haselkorn & Thibaut (InvestmentFraudLawyers.com) is offering a no-fee consultation and will answer questions about accounts handled by Pittman. They have offices nationwide and help investors recoup investment losses suffered due to fraud or negligence by broker-dealer firms and financial advisors employed by them.
The law firm has experienced securities attorneys in its employment and handles most cases on a contingency fee basis. Clients pay only if the law firm is successful in getting them justice.