Category Archives: Dynasty Capital Partners

Steven Ray Hinkle-Former Dynasty Capital Partners Broker-Sanctioned by Regulator

Englewood, CO

The FINRA records of  Steven Ray Hinkle,  a  stock broker who currently is employed by Neidiger, Tucker, Bruner discloses a final FINRA regulatory event.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In FINRA Case 2014038969301, Hinkle consented to sanctions and the entry of findings that he failed to establish, maintain, and enforce an adequate supervisory system to review trades for excessive and unsuitable trading. The findings state that he failed to reasonably supervise a broker despite being aware of several red flags that should have resulted in enhanced scrutiny and supervision of the broker, exposing customers to losses due to excessive trading or other sales practice violations. Hinkle was suspended for 20 days and fined $10,000.

Hinkle has been registered with  since 1/2016. Prior to that he was registered with Dynasty Capital Partners in Greenwood Village, CO. from 1/2003-7/2015.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Raymond T. Clark-Former Dynasty Capital Partners Broker-Discloses 6 Pending Customer Disputes

August 2016- Buffalo, New York

The FINRA records of  Raymond T. Clark,  a  former stock broker who FINRA has permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public, discloses 4 prior regulatory events, 6 pending customer disputes and 7 prior customer disputes. Clark was last employed in the securities industry by Dynasty Capital Partners.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

His prior settled customer disputes include:

  • FINRA Case#9-2811, a customer of Clark’s former employer J.P. Turner alleged damages of $1,000,000 for unauthorized trades, unauthorized use of margin, fraud and breach of fiduciary duty. That case was settled for $395,000.

Currently pending customer disputes include:

  • US DIstrict Court Case 15-CV-1387-DMS-JMA in which a customer of Dynasty Capital Partners alleges damages of $150,000 for misrepresentation, forgery of account documents leading to stock losses.
  • A customer dispute 11/14/2014 in which a customer of Dynasty Capital Partners alleges damages of $814,530 by a customer who made a loan to Clark and is claiming misrepresentation and forgery of securities.

Clark was registered with Dynasty Capital Partners from 8/2010-8/2014.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Raymond T. Clark Named in Complaint by Securities Regulator

November 24,2014

The Financial Industry Regulatory Authority (FINRA) filed a disciplinary complaint against Raymond T. Clark alleging:

  • that FINRA began investigating whether Clark executed excessive and/or unauthorized trades in customer accounts, exercised discretion without authority in customer accounts and accepted trade instructions from an individual who was not authorized to exercise trading authority in a customer account.
  • that FINRA requested that Clark appear for on-the-record testimony on several occassons
  • that Clark informed FINRA that he would not appear to provide testimony

The complaint seeks sanctions against Clark.

According to FINRA records, Clark was registered with Dynasty Capital Partners from 8/2010-8/2014 in Buffalo, NY. Prior to that he was registered with First Midwest Securities, Inc. 

If you suffered losses in an account which was handled by Raymond Clark contact us to learn how you may be able to recover damages.

Rex Securities Law , located in Boca Raton, FL, provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Rex Securities Law

561 391 1900