Aaron Douglas Maurer of Aliso Viejo California a stockbroker formerly registered with RP Capital LLC is referenced in a customer initiated investment related written action brought in the District Court of Portland Oregon which was resolved for $5,795,000.00 on October 18, 2017 founded on allegations that (1) Maurer made misrepresentations to the customer concerning promissory note and direct investment products (2) Maurer failed to disclose conflicts regarding the transactions entered into by the customer (3) Maurer placed the customer in investments that were not suitable and (4) RP Capital LLC failed to supervise Maurer’s recommendations to the customer. Civil Action No. 3:17-cv-00869 (Oct. 18, 2017).

Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Maurer is referenced in four additional customer initiated investment related disputes pertaining to accusations of Maurer’s violative conduct during the time that he was associated with RP Capital LLC which were enjoined into the foregoing civil action resulting in the $5,795,000.00 settlement. Particularly, a customer filed an investment related arbitration claim concerning Maurer’s activities in which the customer sought $600,000.00 in damages based upon allegations of omissions of facts, misrepresentation of investment, breach of contract, breach of fiduciary duty, over-concentration, negligence, and supervisory failures pertaining to the customers’ purchases of unsuitable and illiquid alternative investments including real estate security, promissory note and direct investment products. FINRA Arbitration No. 16-00943 (Apr. 18, 2016).

Thereafter, a customer filed an investment related arbitration claim regarding Maurer’s conduct where the customer requested $700,000.00 in damages supported by accusations that the customer’s assets were placed in unsuitable Aequitas positions; terms and conditions of investments had been misrepresented by Maurer; and RP Capital LLC neglected to supervise Maurer’s recommendations of Aequitas to customers. FINRA Arbitration No. 16-01610 (June 20, 2016).

Moreover, a customer filed an investment related civil action in the Superior Court of the State of Washington in regard to Maurer’s activities in which the customers collectively requested $12,319,652.00 in damages founded on allegations including the sale of non-registered securities; unsuitability; and misrepresentation of the risks and other investment-related information concerning the alternative investments sold to the customer.

Also, a customer filed an investment related arbitration claim involving Maurer’s conduct where the customer sought $350,000.00 in damages based upon accusations that omissions and misrepresentations had been made to the customer concerning the private placement securities issued to the customers by Aequitas; and the customers’ investment transactions were negligently handled by Maurer and the firm. FINRA Arbitration No. 16-01930 (June 20, 2016).

Maurer’s registration with RP Capital LLC has been terminated as of April 26, 2016. Between April 9, 2018 and May 31, 2018, Maurer was employed by Stephen A. Kohn & Associates, Ltd. Since June 3, 2018, Maurer has been registered with Ascendant Alternative Strategies LLC in Austin Texas.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

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Guiliano Law Group, P.C.

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com

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