Alan Dole Allegedly Engaged in Breach of Fiduciary Duty, Negligence, Negligent Supervision, Breach of Contract, & Violation of FINRA Rules

Alan Joseph Dole, a.k.a. A. Joseph Dole, allegedly engaged in breach of fiduciary duty, negligence, negligent supervision, breach of contract and violation of FINRA rules and sections of the Virginia Securities Act, according to a Pending Customer Dispute filed on Dole’s FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca.

The aforementioned pending dispute was filed on December 20, 2018, FINRA states, and is requesting $348,366.85 in damages, FINRA states.

A second pending dispute filed against Dole on December 6, 2018 also alleges violation of the Virginia Securities Act, breach of fiduciary duty, negligence, negligent supervision, breach of contract, and violation of FINRA rules, FINRA notes, and is requesting $497,691.76 in damages.

Both disputes are related to Oil and Gas Investments, Reports state.

Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Alan Dole’s alleged breach of fiduciary duty, negligence, negligent supervision, and breach of contract. Investors who believe they may have lost money in activity related to Alan Dole’s alleged breach of fiduciary duty, negligence, negligent supervision, and breach of contract are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Alan Dole Has Been Registered at Cambridge Investment Research, Inc. Since 2011

Alan Joseph Dole has two disclosures on his FINRA BrokerCheck Report, and had been registered at Cambridge Investment Research, Inc. in Henrico, Virginia since November 22, 2011, FINRA states. 

Alan Dole has also worked at the following firms:

  • Sanders Morris Harris, Inc., Richmond, Virginia— November 3, 2008 to November 23, 2011
  • QA3 Financial Corp., Richmond, Virginia— December 6, 2005 to November 3, 2008
  • National Planning Corporation, Los Angeles, California— February 2, 2005 to November 29, 2005

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.

Securities Lawyer Investigating

The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Alan Dole’s alleged breach of fiduciary duty, negligence, negligent supervision, and breach of contract. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Alan Dole’s alleged breach of fiduciary duty, negligence, negligent supervision, and breach of contract may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at rosca@lawgsp.com, or through the contact form on this webpage.

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In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent updates regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases. Also, the brokercheck report linked to some of our blogs is the up-to-date version as of the date of posting. Visitors may check the most recent version of each brokercheck report at www.finra.org.