Tag Archives: CFD Investments Inc.

CFD Sanctioned By FINRA For Unsuitable Oil And Gas Recommendations

September 14, 2020  |   Posted by :   |   Securities Arbitration Claims   |   Comments Off on CFD Sanctioned By FINRA For Unsuitable Oil And Gas Recommendations

Securities broker dealer CFD Investments Inc. and its Chief Compliance Officer Matthew O. Bahrenburg of Kokomo Indiana have been sanctioned by Financial Industry Regulatory Authority (FINRA) based upon findings that they failed to conduct due diligence on an oil and gas private placement and that the securities broker dealer’s stockbrokers made unsuitable investment recommendations to […]

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FIRNA Bars CFD Stockbroker For Selling Away

April 08, 2020  |   Posted by :   |   Promissory Notes, Selling Away and Outside Activities, Unregistered Securities   |   Comments Off on FIRNA Bars CFD Stockbroker For Selling Away

Dana Bruce Vietor of Dallas Texas a stockbroker formerly registered with CFD Investments Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Vietor sold unregistered securities away from his securities broker dealer employers including CFD Investments as well as Cape Securities and Oakbridge […]

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CFD Stockbroker Barred For Ignoring FINRA In Customer Loan Investigation

Ziv Ohel (also known as Zir Ohel) of Long Grove Illinois a stockbroker formerly associated with CFD Investments Inc. has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity supported by allegations that the stockbroker neglected to respond to FINRA’s request for information. FINRA Case No. 2016051838401 […]

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CFD Investments Sued By Investors For Fraud

Dana Bruce Vietor of Dallas Texas a stockbroker formerly registered with CFD Investments Inc. is the subject of a customer initiated investment related arbitration claim where the customer requested $75,000.00 in damages supported by allegations that (1) a contract was breached by the stockbroker or the securities broker dealer (2) fiduciary duties had been breached […]

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CFD Investments Fires Broker For Churning Customer Accounts

Ziv Ohel of Long Grove Florida a stockbroker formerly employed by CFD Investments Inc. has been discharged on September 6, 2017 based upon accusations from a customer who claimed that (1) unsuitable transactions were executed in the customer’s account (2) fiduciary duties owed to the customer had been breached and (3) trades were placed in […]

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FINRA Fines CFD Investments For Failure To Supervise

CFD Investments Inc. a brokerage firm headquartered in Kokomo Indiana has been censured and fined $125,000.00 by Financial Industry Regulatory Authority (FINRA) based upon the firm’s consent to findings that it failed to supervise variable annuity recommendations and exchanges made by CFD Investments Inc. brokers. Letter of Acceptance Waiver and Consent No. 2016048224201 (Jan. 10, […]

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Valic Financial Broker Discharged For Forgery

Kyle Michael Marburger of Carmel Indiana a stockbroker formerly employed by Valic Financial Advisors Inc. has been discharged by the firm on December 27, 2016 founded on allegations that Marburger forged a customer’s signature on annuity documentation to establish an annuity contract. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that approximately one month before […]

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CFP Investments Fined For Failure To Supervise ETFs

September 15, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

CFD Investments, Inc., a broker-dealer headquartered in Kokomo, Indiana, has been censured and fined $30,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm failed to supervise non-traditional exchange traded fund transactions effected by the firm’s registered representatives in customer accounts. Letter of Acceptance, Waiver and Consent, No. 2014039216501 (Sept. […]

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Silver Oak Securities Named In Customer Complaint

January 19, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

John Bernard Steffen, of Florence, Kentucky, an insurance broker formerly registered with Silver Oak Securities, Inc., has been named in a customer initiated written complaint on June 23, 2016, in which the customer requested $285,000.00 in damages based upon allegations that Steffen churned the customer’s account, breached his fiduciary duty, and effected unsuitable variable annuity […]

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