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 records, Frank 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.
Florida-561 391 1900