Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dee Rippetoe (Rippetoe), previously associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Rippetoe 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 $300,000.00 on September 23, 2020.
Statement of claim filed by Claimant’s Trustee alleges negligence, breach of fiduciary duty, breach of contract, material misrepresentations and omissions and failure to supervise. The investments were sold at a previous firm therefore the name of he firm and date is unknown.