- January 13, 2019
- Cambridge Investment Research
The Wolper Law Firm is currently investigating claims against Alan Dole, a Financial Adviser at Cambridge Investment Research in Henrico, Virginia. Alan Dole has been in the securities industry since 2005 and previously worked at Sanders Morris Harris.
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Alan Dole is currently the subject of two customer complaints, alleging sales practice violations. The specific customer complaints allege:
“Client alleges violation of the Virginia Securities Act, breach of fiduciary duty, negligence, negligent supervision, breach of contract and violation of FINRA rules.” One of the complaints alleges damages of $348,000 and the second complaint alleges damages of $497,000. Both complaints remain pending.
For a full copy of Alan Dole’s CRD and disclosure history,, click https://brokercheck.finra.org/individual/summary/4904989#disclosuresSection.
Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.
The Wolper Law Firm is interested in speaking with clients of Alan Dole as part of its investigation. We can be reached at 800.931.8452 or by email at email@example.com. The Wolper Law Firm represents investors nationwide in securities litigation and arbitration on a contingency fee basis. Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities. Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters.