October 2019- Louisville, KY
According to publicly available records John Dunn Gordinier (CRD#2363965) , a stockbroker currently registered with J.J.B. Hilliard, W.L. Lyons discloses a recently settled customer dispute involving energy investments.
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 January of 2018 a J.J.B. Hilliard, W.L. Lyons customer filed FINRA case #18-035 that alleged negligence, breach of fiduciary duty, negligent supervision and breach of contract in relation to the suitability of certain energy investments during the 2014-2017 time period. The case was settled in 12/2018 for $100,000.
Gordinier has been employed with J.J.B. Hilliard, W.L. Lyons since May of 1993.
If you have questions about an investment account handled by John Dunn Gordinier contact us for a no charge consultation to learn about your legal options.
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.
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