Daniel Raupp: Investors Allege Over $2 Million in Losses
Daniel Raupp (CRD #: 4079107), a broker registered with Concorde Investment Services, is involved in multiple pending investor disputes, according to his BrokerCheck record, accessed on August 18, 2021.
On June 22, 2021, an investor alleged that Daniel Raupp recommended unsuitable investments. The investor is seeking $125,000; the dispute is pending. “Unsuitable” investments do not fit FINRA’s requirements – brokers are only supposed to recommend investments that fit the investor’s financial goals, risk tolerance, and time horizon.
On April 9, 2021, an investor alleged that Raupp recommended unsuitable investments. The investor is seeking $950,000; the dispute is pending.
Less than a year earlier, on September 16, 2020, an investor alleged that Daniel Raupp recommended various unsuitable investments. The investor is seeking $400,000; the dispute is pending.
On June 3, 2019, an investor alleged Daniel Raupp misrepresented a security and recommended unsuitable investments. The investor is seeking $1,000,000; the dispute is pending.
Settled Investor Disputes
On March 5, 2020, an investor alleged that Daniel Raupp misrepresented a security and recommended an unsuitable investment. The investor sought $514,000; the dispute settled for $262,000.
Daniel Raupp Background Information
Daniel Raupp has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 24 General Securities Principal Examination
He is a registered broker in 48 states and D.C.
Daniel Raupp has worked with the following firms:
- Concorde Investment Services (CRD #: 151604)
- P. Turner & Company (CRD #: 43177)
- Gunnallen Financial (CRD #: 17609)
- Harrison Securities (CRD #: 14103)
- Ehrenkrantz King Nussbaum (CRD #: 31140)
- Weatherly Securities Corporation (CRD #: 11081)
Kurta Law Can Help
If you worked with Daniel Raupp and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email firstname.lastname@example.org.