Category Archives: Waveland Capital Partners

Investigation-Frank T. Dunn, Jr.-Concorde Investment Services-The Woodlands, TX

The Woodlands, Texas

We are investigating the sales practices of Frank Timothy Dunn, Jr. a broker who has been employed by Concorde Investment Services since 10/2014. In publicly available records Dunn discloses a business affiliation with Capstone Financial Consultants LLC , 1031 TaxSavings.com and an accounting practice located in the Woodlands, TX.

Dunn also discloses two prior regulatory events, one with the NASD, now known as FINRA, and one with the Oregon Division of Finance and Corporate Securities, both of which resulted in monetary sanctions.

 

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 16-0611 a  customer of Waveland Capital Partners sought damages of $452,388, alleging misrepresentation, breach of fiduciary duty in relation to a tenant in common investment (1031 exchange). That case was settled for $22,500.

In FINRA case 12-3742 a customer of EPlanning Securities sought damages of $1 million alleging misrepresentation, negligence and breach of fiduciary duty in connection with tenant in common investments. That case settled for $67,000.

Prior to his employment with Concorde Investments Services, Dunn was registered with Steven L. Falk & Associates from 5/2010-10/2010 , EPlanning Securities 4/207-12/2008, and with Waveland Capital Partners from 7/2003-4/2007.

If you have information which you believe is helpful to this investigation we would appreciate hearing from you.

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

Frank Dunn-Concorde Investment Services Broker-Discloses Settlement of Customer Dispute-The Woodlands, TX

The Woodlands, Texas

UPDATE JULY 2017-Public records reveal that n 12/2016 Frank T. Dunn, Jr. paid $22,500 to settle his portion of  FINRA CASE 16-0611, discussed below.

ORIGINAL POST-May 2016

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.

According to FINRA recordsFrank T. Dunn, Jr. is named in a pending customer dispute. In FINRA Case 16-0611, a customer alleges that while Dunn was registered with Waveland Capital Partners, LLC, he made misrepresentations in connection with the sale of a tenant in common investment (TIC) causing damages of $452,388, of which $102,249 is attributed to the representative.

According to FINRA records, Dunn has been registered with Concorde Investment Services since 10/2010. Prior to that he was registered with Steven L. Falk & Associates from 5/2010-10/2010. Dunn was registered with Waveland Capital Partners from 7/2003-4/2007.

Dunn discloses a business affiliation with Capstone Financial Consultants as well as a CPA practice located in The Woodlands, TX,

If you have losses in an account handled by Frank T. Dunn, Jr. contact us to learn how you may be able to recover damages through FINRA arbitration.

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