Katherine St. Charles Clark (CRD #: 856235), a broker and an investment adviser registered with RC Capital Markets, LLC, is facing investor allegations involving an unauthorized sale of securities, according to her BrokerCheck record, accessed August 21, 2020. Do you have questions about securities sales made by Katherine St. Charles Clark? Keep reading.
On June 9, 2020, a client alleged that Katherine St. Charles Clark made an unauthorized sale of securities within a discretionary account. The dispute is pending.
On March 15, 2007, a client alleged that Katherine St. Charles Clark failed to follow instructions. The client sought damages of $23,000; the dispute settled for $15,000.
On February 4, 2002, a client alleged that Katherine St. Charles Clark failed to disclose risks associated with recommended bond funds. They sought damages of $571,999; the dispute went into arbitration and was settled for $172,167.39. A copy of the award can be accessed here.
Katherine St. Charles Clark 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. She is a registered broker in Arizona, California, Colorado, Connecticut, Delaware, D.C., Florida, Georgia, Illinois, Kentucky, Maine, Maryland, Massachusetts, Michigan, Nevada, New Jersey, New York, North Carolina, Pennsylvania, Tennessee, Texas, Virginia, and Wyoming. He is an investment adviser in Maryland and Texas.
During Katherine St. Charles Clark’s 42-year career, she has worked at the following firms:
- Merrill Lynch, Pierce, Fenner & Smith, Incorporated (CRD #: 7691)
- Citigroup Global Markets, Incorporated (CRD #: 7059)
- Lehman Brothers, Incorporated (CRD #: 7506)
- E.F. Hutton & Company Incorporated (CRD #: 235)
- Bache Halsey Stuart Shields Incorporated (CRD #: 7471)
If Katherine St. Charles Clark 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 your free case consultation with a securities attorney.