Advisor Alert: Our Attorneys Are Investigating Richard Francis Klimpt For Investment Fraud
Did You Lose Money Because of Richard Klimpt?
Filed: November 15, 2023
Richard Klimpt has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Richard Francis Klimpt.
Who Is Richard Francis Klimpt?
- Advisor Name: Richard Francis Klimpt
- Aliases: Richard F. Klimpt, Richard Frances Klimpt
- CRD: 1264574
- Location: Birmingham, Alabama
- Current Employer: Currently Not Registered
- Previous Firms: Cetera Investment Services LLC, PNC Investments, and Wells Fargo Advisors, LLC
- Number of Known Customer Complaints: 2
- Can Richard Klimpt Be Sued: Yes, in Private Arbitration
- Can Richard Klimpt’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: Unknown
- Highest Settlement: Unknown
If you have suffered investment losses by Richard Klimpt, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Richard Klimpt For Broker Misconduct
As of this publication date, Richard Klimpt has been the subject of 2 customer disputes. Let’s review them below.
In June 2023, a complaint was filed against or in reference to Richard Klimpt by a customer of Cetera Investment Services LLC alleging that after reading the prospectus, the client did not feel that an investment was appropriate for his parents.
In May 2019, a complaint was filed against or in reference to Richard Klimpt by a customer of Cetera Investment Services LLC alleging that the client understood that she was investing in a CD and not an annuity.
How To File A Claim Against Richard Klimpt (previously with Cetera Investment Services LLC, PNC Investments, and Wells Fargo Advisors, LLC) To Get Your Money Back.
If you have questions about Richard Klimpt, Cetera Investment Services LLC, PNC Investments, Wells Fargo Advisors, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.