Last Updated: January 2024 (Valencia, CA)
Richard Brittain Investigation Summary
Here’s what you need to know about Valencia, CA, stockbroker Richard Brittain:
- Name: Mr. Richard Dustin Brittain
- Current Employer: Equitable Advisors
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisors
- Aliases: Richard Brittain
- Primary Location: Valencia, CA
- CRD 5928857
- Can Richard Brittain be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Customer Made Complaint That Was Denied by Firm: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Richard Brittain As Your Stockbroker?
In 12/2023 a customer of Equitable Advisors complained that Richard Brittain made an unsuitable recommendation to invest in an annuity. The firm “denied” the complaint and apparently the customer did not pursue the matter further. Denials of customer complaints is not determinative of whether there is liability for such action. See our advice below if you had a complaint “denied” by a firm.
Allegations of Broker Misconduct Against Richard Brittain
Customers of Richard Brittain have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in an annuity
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.
Has Your Brokerage Firm “Denied” Your Claim for Damages Due to Stockbroker Malpractice?
It is quite common ( and predictable as well) for brokerage firms to deny a customer’s complaint made directly to the company. Firms know that in many, if not most, instances telling the customer “we don’t think it’s our fault” will be the end to the problem.
Firms seldom, if ever, offer adequate resolution when a customer deals directly with the the brokerage firm. In the unlikely event the firm does discuss actually agree to discuss settlement , the firm will generally attempt to have you settle your case for a fraction of what it is actually worth.
If you think there is a problem with the way your account has been handled, or if you have had your claim “denied”, talk to an experienced securities attorney to learn your rights and to learn what the true value of your claim may be.
We do not charge to evaluate a case.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Richard Brittain, 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.
