Stephen Marshall Rice Allegedly Recommended Unsuitable Investments

Stephen Rice is the subject of a pending customer complaint filed on October 3, 2018 which alleges unsuitability related to six investments, according to FINRA Reports under review by investor rights attorney Alan Rosca.

The six investments in question were reportedly purchased between October of 2009 and March of 2017, FINRA notes.

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

Stephen Rice Has Been Registered with Colorado Financial Service Corporation Since January 12, 2012

Stephen Rice has 26 years in the securities industry with 5 firms, and has been registered with Colorado Financial Service Corporation in Burlingame, CA since January 12, 2012, FINRA notes.

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 Stephen Rice’s alleged unsuitability. 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 Stephen Rice’s alleged unsuitability may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at, or through the contact form on this webpage.