Richard Case Allegedly Breached His Fiduciary Duty

Richard Case (CRD #: 1235220), a broker registered with Western International Securities, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on April 22, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Dispute

On March 25, 2024, an investor alleged that Richard Case breached his fiduciary duty. 

Fiduciary Duties

A fiduciary duty is a duty to work in a client’s best interest. Brokers are not fiduciaries, but they must follow the rules set forth by FINRA Rule 2111 and Regulation Best Interest. Registered Investment Advisers (RIAs) are fiduciaries, and brokers are often dually registered as RIAs.  (To learn more about the differences between brokers and Registered Investment Advisers, click here.) 

Background Information 

Richard Case has passed the following exams: 

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 3 National Commodity Futures Examination 
• Series 7 General Securities Representative Examination
• Series 24 General Securities Representative Examination 

He is a registered broker in 18 states and is a registered investment adviser in California, Louisiana, and Texas. 

Richard Case has registered with the following firms: 

• Western International Securities (CRD #: 39262) 
• Crowell, Weeding & Co. (CRD #: 193) 
• Seidler Investment Advisors Incorporated (CRD #: 107778) 
• The Seidler Companies Incorporated (CRD #: 3911) 
• Wachovia Securities (CRD #: 19616) 
• Bateman Eichler, Hill Richards, Incorporated (CRD #: 76) 
• Legg Mason Wood Walker (CRD #: 6555)

Kurta Law Can Help 

If you have worked with Richard Case and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.