Articles Tagged with Concorde Investment Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rikki Foster (Foster), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Foster recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $700,000.00 on September 17, 2025.

Claim is alleging breach of fiduciary duty, suitability, breach of written contract, and misrepresentation related to October 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Bangerter (Bangerter), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bangerter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $700,000.00 on September 17, 2025.

Claim is alleging breach of fiduciary duty, suitability, breach of written contract, and misrepresentation related to October 2022 investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Zigouras (Zigouras), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zigouras recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 19, 2025.

Client is alleging that the agent misrepresented the terms of policy purchased in 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Hughes (Hughes), previously associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hughes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $150,000.00 on April 05, 2023.

Claim alleges unsuitable recommendations, common law fraud, breach of contract, negligent supervision, breach of fiduciary duty, negligence, violation of California Securities Act, and elder abuse in relation to investment made in February of 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Raupp (Raupp), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raupp recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $270,000.00 on February 08, 2023.

Claim is alleging suitability, misrepresentation, and violation of FINRA rules 2010 (fiduciary duty) relating to investments made in 2015 to 2017.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Bangerter (Bangerter), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bangerter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on April 15, 2025.

Client is claiming losses due to poor recommendation for investments made in 2019 and 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Bangerter (Bangerter), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bangerter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on April 15, 2025.

Client is claiming losses due to poor recommendation for investments made in 2019 and 2020.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Maher (Maher), currently associated with Concorde Investment Services, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Maher  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $54,000.00 on July 28, 2023.

Complaint is alleging suitability, breach of fiduciary duty, and churning, relating to investments made in 2014 and 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Kuiper (Kuiper), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kuiper recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on September 01, 2023.

Customer alleges violation of California Common Law Fraud, Breach of Fiduciary Duty, Negligence and Negligent Failure to Supervise relating to the investments made on 08/31/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Huber (Huber), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huber recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on April 11, 2025.

Clients are alleging that rep failed to recommend suitable investments resulting in significant losses. Activity occurred from 2019 to 2025.

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