Last Updated: April 2024 (San Antonio, Texas)
Richard Ure Investigation Summary
Here’s what you need to know about San Antonio, Texas, stockbroker Richard Ure:
- Name: Mr. Richard A. Ure
- Current Employer: Gradient Securities, Gradient Wealth Management
- DBA: Rau LLC , Federal Benefits and Retirement
- Previous Firms: LPL Financial, National Planning Corp.
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Richard Ure
- Primary Location: San Antonio, Texas
- CR 5027858
- Can Richard Ure be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award/Pending Customer Dispute Seeks Damages of $25,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Richard Ure As Your Stockbroker?
A customer of Gradient Securities was paid $25,000 in 3/2023 to settle a FINRA arbitration alleging that Richard Ure charged excess fees, failed to disclose surrender fees and made an unsuitable recommendation to invest in mutual funds and a fixed annuity.
Allegations of Broker Misconduct Against Richard Ure
A customer of Richard Ure has alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations to purchase mutual funds and fixed annuity
- Charged excess fees
- Failed to disclose surrender penalties
[LEARN MORE]: Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
[LEARN MORE]: FINRA Rule 2111- suitability
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
[LEARN MORE]: Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by Richard Ure, 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.
