The Rosca Scarlato LLC law firm attorneys are investigating circumstances related to a customer dispute disclosure filed with FINRA involving previously registered broker Richard Schultz (also known as Richard Charles Shultz and Rich Schultz), according to Schultz’s FINRA Brokercheck page.
The customer dispute allegedly involving ETF investment products was reportedly filed with FINRA in March 2021 on allegations of breach of fiduciary duty, fraud, negligence, and suitability. As of the date of this article, the disclosure indicates the customer is requesting $2,928,362 in damages.
Investor rights attorney Alan Rosca and his colleagues at Rosca Scarlato LLC law firm are investigating conduct related to the customer dispute filed with FINRA and disclosed on Richard Schultz’s Brokercheck.
Investors who are concerned about their investments with Richard Charles Schultz may contact attorney Alan Rosca or his colleagues for a free case evaluation and discussion of potential options, or to provide any useful information, toll free at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.
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Richard Charles Schultz Was Registered with FINRA for 29 Years
Schultz joined the securities industry in 1985 and switched employers five times according to his FINRA Brokercheck page. Schultz was previously registered with Stifel, Nicolaus & Company located in La Crosse, Wisconsin from November 2015 until January 2021.
Between September 1990 and September 2009, Richard Schultz was registered with Wells Fargo Advisors located in Lacrosse, Wisconsin. Additionally, he was registered with Blunt Ellis & Loewi Incorporated, Piper, Jaffray & Hopwood Incorporated, and E.F. Hutton & Company between 1985 and 1990, as reported on his FINRA Brokercheck page.
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 or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.
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Potential Options for Richard Schultz Investors
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or broker misconduct and is currently investigating conduct related to the customer dispute disclosure filed with FINRA on multiple allegations of broker misconduct involving Richard Charles Schultz.
The firm takes most cases of this type on a contingency fee basis and advances 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, has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Investors concerned about investments with Richard Schultz may contact attorney Alan Rosca for a free case evaluation by calling 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage