Richard Braden Groff (CRD#4177139) and CHARLES SCHWAB & CO., INC.

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Richard Braden Groff (CRD#4177139) regarding allegations made regarding the following:

Claim(s) Made Against Richard Braden Groff:

Claim Date: 3/4/2020

“CLIENT ALLEGES ON FEBRUARY 18, 2020, SHE PROVIDED INSTRUCTIONS TO THE REPRESENTATIVE TO SELL THE ETF‘S IN HER ACCOUNT AND LEAVE THE FUNDS IN CASH; INSTEAD HE PURCHASED SHARES OF VARIOUS SECURITIES WITH THE PROCEEDS.”

This claim, as of this posting, is currently Settled with a claim amount of $25,000.00 .

The investor was paid $10,000.00 by the brokers’ firm.

See more information on FINRA’s BrokerCheck site for Richard Braden Groff.

Were you a customer of Richard Braden Groff?

If you had a negative experience or issue with Richard Braden Groff and CHARLES SCHWAB & CO., INC. from Sandy Springs, GA, the Securities Lawyers at Halling & Cayo, S.C. may be able to help you. Brokerage firms have a duty to supervise all registered representatives, such as Richard Braden Groff, and ensure that they follow all securities rules and regulations and internal policies. If a brokerage firm fails to do so, it may be held liable for investment losses sustained by customers.

We are currently considering bringing claims on behalf of individual investors or groups of investors who have lost funds. Many customers have signed FINRA arbitration agreements that outline the process for resolving disputes, including claims for investment loss recovery. As the SEC advises, it is important to find an attorney who has experience handling securities complaints. If you were a customer of Richard Braden Groff and CHARLES SCHWAB & CO., INC. and experienced investment losses, please get in touch with the Securities Lawyers. We only receive payment if we can recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to contact an attorney as soon as possible.


Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.