November 2020, Laguna Niguel, CA
According to publicly available records Aaron Douglas (Doug) Maurer , a stockbroker previoiusly registered with Ascendant Alternative Strategies & RP Capital , discloses a prior customer dispute that was resolved by a cash settlement.
The Financial Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In June 2016, customers of Maurer’s prior employer, RP Capital, brought an action alleging misrepresentation, conflict of interest, suitability and supervision failures in connection with recommendations to make certain alternative investments. The cases were settled for $5,795,000.
Maurer was employed by Ascendant Alternative Strategies from 6/2018-12/2019. Previously he was by RP Capital from January 2009 until April 2016. Maurer discloses a business affiliation with Institute for Wealth Consultants, dba Concert Wealth Management in Dallas, TX.
If you have questions about account handled by Aaron Douglas (Doug) Maurer, contact us for a no charge consultation to learn about your legal options for recovery of losses.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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