Close Menu
Free Consultation: 888-976-6111

Carolyn Valentine: $471K TIC Complaint Against Ex-H. Beck Advisor

A recent investor complaint against Canton, Ohio financial advisor Carolyn Valentine (CRD# 2532412) alleges that her conduct resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that she is a broker registered with Cambridge Investment Research, having formerly been registered with H. Beck.

Ms. Valentine’s BrokerCheck report discloses two investor complaints. The most recent, filed in September 2022, alleges that as a representative of H. Beck, she breached her fiduciary duty, acted negligently, and recommended unsuitable investments in tenant-and-common interests offered by Cole Capital Partners. The pending complaint alleges damages of $471,746.

An earlier investor complaint, alleged in 2020, alleged that she “provided incomplete or incorrect tax documents and financial statements as part of a real estate transaction” while she was at H. Beck. The pending complaint alleges damages of $978,797. In a “Broker Statement” included with the complaint’s disclosure, Ms. Valentine pushes back against the allegations, stating in part: “Claimant was never a customer/client of RR, and the claims being asserted do not involve securities and/or financial advisory services. The claims against RR arise from her work as an independent certified public accountant preparing tax returns and compiled financial statements for her client who is not the claimant.”

According to the Financial Industry Regulatory Authority, Carolyn Valentine holds 28 years of securities industry experience. Based in Canton, Ohio, she has been a broker with Cambridge Investment Research since 2019. Her past registrations include H. Beck (Canton, Ohio; 1997-2019) and Franklin Financial Services Corporation (Houston, Texas; 1994-1997). Her credentials include the passage of four securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Direct Participation Programs Representative Examination, or Series 22; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. She is licensed in Florida, Montana, North Carolina, Ohio, and South Carolina. (Information current as of March 16, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Jonathan Upton: LPL Advisor Faces $250K REIT Complaint

    Multiple investor complaints against Louisville, Kentucky financial advisor Jonathan Upton (CRD# 4559794) allege that he recommended unsuitable investments. Financial Industry...

    Read More
  • Joy Simar: $203K Complaint Against LPL/Pruco Advisor

    McKinney, Texas financial advisor Joy Simar (CRD# 6147731) recently received an investor complaint alleging that her conduct resulted in six-figure...

    Read More
  • Dan Schmid: Why Did Advisor Resign from Northwestern Mutual?

    Minneapolis, Minnesota financial advisor Dan Schmid (CRD# 6658306) recently resigned from Northwestern Mutual Investment Services in connection with alleged rule...

    Read More
  • Ozzie Ramos: $80K Bond Complaint Against WIS Advisor

    Westlake Village, California financial advisor Ozzie Ramos (CRD# 2572345) recently received an investor complaint alleging that his advice resulted in...

    Read More
  • Previous
  • Next