RICHARD COLBY MCFADDEN is currently employed as a Broker and/or Investment Adviser at WESTPARK CAPITAL, INC. located at 1600 Dove Street, Suite 250, Newport Beach, CA, 92660.
RICHARD COLBY MCFADDEN has worked at WESTPARK CAPITAL, INC. since July 15, 2016
Disclosure History
RICHARD COLBY MCFADDEN has 4 Disclosure Event(s).
Date: March 04, 2014 Category: Regulatory
Date: February 22, 2010 Category: Customer Dispute Allegations: RR FALSIFIED CLIENT'S DATE OF BIRTH ON PRODUCT APPLICATION. Damage Amount Requested: $129,000.00 Settlement Amount: $20,000.00 Broker Comment: CLIENT, NOW A CO-OWNER OF THE PRUDENTIAL (FORMERLY AMERICA SKANDIA) ANNUITY IN QUESTION, WAS ORIGINALLY LISTED AS A BENEFICIARY. MATTER ORIGINATED VIA A COMPLAINT FILING WITH PRUDENTIAL CLAIMING THAT THE CLIENTS BIRTH DATE WAS LISTED IN ERROR WHEN CLIENT WAS LISTED AS A BENEFICIARY CAUSING NO MATERIAL DAMAGE TO THE CLIENT. SETTLEMENT WAS OFFERED IN GOOD FAITH FOR CUSTOMER SERVICE.
Date: March 01, 2005 Category: Customer Dispute Allegations: ALLEGED UNSUITABILITY. DAMAGES NOT SPECIFIED. Settlement Amount: $4,995.00
More Information
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