Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Arizona-based First Allied Securities broker/adviser Ronald McCook is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McCook (CRD# 4155186).
Ronald McCook has spent 17 years in the securities industry and has been registered with First Allied Securities in Scottsdale, Arizona since 2014. Previous registrations include National Planning Corporation in Scottsdale, Arizona (2009-2014); Sagepoint Financial in Scottsdale, Arizona (2005-2009); SunAmerica Securities in Phoenix, Arizona (2001-2005); and Washington Square Securities in Des Moines, Iowa (2000-2001). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 8, 2000, and Series 7 (General Securities Representative Examination), which he obtained on July 22, 2000. He is a registered broker and investment adviser with 15 US states and territories: Arizona, California, Colorado, Florida, Illinois, Iowa, Kansas, Michigan, Nevada, New York, Oklahoma, Oregon, Texas, Utah, and Washington.
According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.
In April 2018 a customer alleged Ronald McCook, while employed at National Planning Corporation, First Allied Securities and Sagepoint Financial, acted negligently, acted grossly negligent, over-concentrated investments, breached contract, breached his fiduciary duty, misrepresented and omitted material facts, failed in his supervisory duties, and committed fraud in connection to investments in variable annuity products and real estate securities. The customer is seeking $100,000 in damages in the pending complaint.
In 2012 a customer alleged Ronald McCook, while employed at National Planning Corporation, did not disclose the tax implications connected to a funds transfer from an annuity. The customer sought $17,000 in damages in the complaint, which was denied.
If you or someone you know has lost money investing with Ronald McCook, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.