Scott Turcott (CRD #: 3123428), a broker registered with Oppenheimer & Co., is involved in a new investor dispute, according to his BrokerCheck record, accessed December 2, 2020. This is his fourth client complaint.
On October 6, 2020, a client alleged that Mr. Turcott had breached his fiduciary duty to his client. As a registered investment adviser, Scott Turcott is a fiduciary and therefore required to work in his client’s best interest. The client is seeking $100,914; the dispute is pending.
On March 9, 2016, a client alleged that Scott Turcott recommended unsuitable investment recommendations. The dispute settled for $26,398.
On March 1, 2016, a client alleged that Mr. Turcott recommended unsuitable investment recommendations. The dispute settled for $175,000.
On August 20, 2013, a client alleged that Scott Turcott recommended unsuitable investment recommendations, executed excessive trades, and misrepresented certain securities. The dispute settled for $30,000.
Scott Turcott has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in 29 states and a registered investment adviser in Arizona, California, and Texas.
During his 21 years of experience, Scott Turcott has also worked for the following two firms:
- Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)
- Wells Fargo Advisors (CRD #: 19616)
If Scott Turcott was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email firstname.lastname@example.org for a free case consultation with a securities attorney.