Dennis Riordan Investigation
May 2022- Greenwich, CN
According to publicly available records, Dennis Riordan, a Wynston Hill Capital broker in Bronx, NY , discloses 3 regulatory events and 3 final customer complaints.
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 November of 2021, FINRA alleged that Riordan failed to respond to FINRA requests for information in connection with a regulatory investigation and ordered that Riordan was indefinitely suspended from FINRA in all capacities.
In March of 2022, The South Dakota Division of Insurance & Securities suspended Riordan from FINRA in all capacities for failure to respond to regulatory inquiries.
In April of 2022 the Maryland Division of Securities filed case #20210507 alleging that Riordan was suspended by Financial Industry Regulatory Authority (FINRA) on December 3, 2021 for failing to respond to FINRA’s inquiries. Riordan’s registration in Maryland was revoked on April 4, 2022.
Two FIRNA cases were filed against Riordan in December of 2013 and in September of 2012 by John Thomas Financial customers- a previous employer of Riordan- alleging unsuitale recommendations and failure to follow instructions. The cases settled cumulatively for the amount of $26,000.
In August of 2020, FINRA case #20-02805 was filed by a Portfolio Advisors Alliance customer alleging unauthorized trading, fraud, misrepresentation, negligence, breach of contract and breach of fiduciary duty with alleged damages of $37,761. This case is pending.
Riordan has been employed by Wynston Hill Capital since June of 2017. Before that time he was with Aeon Capital, Inc, Rothschild Lieberman, Corinthian Partners, Portfolio Advisors Alliance, John Thomas Financial and J.P. Turner & Company.
If you have questions about an account handled by Dennis Riordan, call to speak with an experienced securities attorney. No charge for initial consultation.
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