Stanley Crisci is the Subject of a Six-Figure Dispute

Stanley Crisci (CRD #: 2687393), a broker registered with RBC Capital Markets, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on August 13, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On July 8, 2024, an investor alleged that Stanley Crisci did not invest in the plan’s participants’ accounts consistent with their investment objectives. The investor is seeking $100,000. 

What is an Unsuitable Investment? 

FINRA Rule 2111, a.k.a. The Suitability Rule, requires brokers to tailor their investment recommendations to suit investors’ needs. Rule 2111 also requires brokers to consider the following investor characteristics: 

• Investment goals
• Age
• Risk tolerance
• Time horizon (i.e., how long the investor plans to hold the investment)
• Investing experience
• Tax status

Investments that do not fit the criteria established by the investor profile may be unsuitable. Investors who rely on brokers for recommendations may recover their losses by pursuing FINRA arbitration.

Background Information 

Stanley Crisci has passed the following exams:

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 31 Futures Managed Funds Examination 
• Series 7 General Securities Representative Examination  
• Series 24 General Securities Representative Examination 

He is a registered broker in 29 states and is a registered investment adviser in Indiana and Texas. 

Stanley Crisci has registered with the following firms: 

• RBC Capital Markets (CRD #: 31194) 
• Raymond James & Associates (CRD #: 705) 
• Morgan Keegan & Company (CRD #: 4161) 
• The Huntington Investment Company (CRD #: 16986) 
• Dean Witter Reynolds (CRD #: 7556)

Kurta Law Can Help 

If you worked with Stanley Crisci and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.