Linda Dowd; Royal Alliance Associates; Lakewood, Colorado

Stoltmann Law Offices is investigating Linda Dowd, aka Linda Trout, aka Linda Donnelly. Dowd was most recently registered with Royal Alliance Associates in Lakewood, Colorado. The Financial Industry Regulatory Authority (FINRA) sanctioned Dowd following allegations that she offered to have a customer pre-sign blank distribution request forms, to be completed when the customer made a verbal request. According to a complaint with FINRA, she did this on at least 26 occasions, and, on one occasion, “re-used a previously-used signature page onto a new distribution request form because she had run out of pre-signed blank forms from the customer.” This is against securities rules and regulations. For this she was suspended for one year and fined $5,000. In January 2015 she was terminated from her position at WFG Investments following allegations she violated internal policies by obtaining blank, pre-signed forms. She was also alleged to have recommended unsuitable investments to a customer.

Ms. Dowd was registered with Hanifen, Imhoff Inc., Investors Center, The Stuart-James Company, Jesup, Josephthal Securities, DE Frey & Company, WFG Investments in Boulder, Colorado from September 1995 until February 2015, Securities Service Network, Royal Alliance Associates in Lakewood, Colorado from March 2015 until December 2015 and Sunbelt Securities. She has one customer dispute against her. Please call our securities law offices in Chicago if you suffered losses with Ms. Dowd. We may be able to help you recover your losses in the arbitration forum on a contingency fee basis. The call is free.