Last Updated: December 2023 (Fort Collins, CO)
Charlotte McConnell Investigation Summary
Here’s what you need to know about Fort Collins, CO, stockbroker Charlotte:
- Name: Charlotte Anne McConnell
- Current Employer: Raymond James Financial Services
- DBA: Security Service Investment Group, Security Service Federal Credit Union
- Previous Firms: Cetera Investment Services, the O.N. Equity Sales Company
- Function: Stock Broker/ Financial Advisor
- Aliases: Charlotte McConnell, Charlotte Anne Maupin, Charlotte Anne White
- Primary Location: Fort Collins, Colorado
- CRD 1161160
- Can Charlotte McConnell be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $300,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Charlotte McConnell As Your Stockbroker?
A customer of Cetera Investment Services filed a FINRA arbitration in 11/2023 alleging that Charlotte McConnell made unsuitable recommendations to invest in real estate securities resulting in losses.
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk. For more investigations involving Alternative Investments, see this.
Allegations of Broker Misconduct Against Charlotte McConnell
A customer of Charlotte McConnell has alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in real estate securities
See this for more information on REITs and Other Alternative Investments
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of other Cetera brokers
If you have suffered investment losses in an account handled by Charlotte McConnell, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
