Tag Archives: Crown Capital Securities L.P.

Crown Capital Sued For Alternative Investment Sales

July 20, 2020  |   Posted by :   |   Alternative Investments, Securities Arbitration Claims   |   Comments Off on Crown Capital Sued For Alternative Investment Sales

Hugh Ordway Barndollar III (also known as Hobby Barndollar) of Land O’ Lakes Florida a stockbroker currently registered with Crown Capital Securities LP is the subject of a customer initiated investment related arbitration claim where the customer sought $125,000.00 in damages based upon accusations that the customer had been sold illiquid alternative investments during the […]

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Crown Capital Sanctioned For Failure To Supervise

June 28, 2019  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Crown Capital Securities L.P a securities broker dealer and investment advisory headquartered in Orange California has been censured and fined $75,000.00 by Financial Industry Regulatory Authority (FINRA) based upon the firm’s consent to findings that it neglected to supervise its business practices to adequately monitor the stockbrokers’ trading of mutual fund shares to determine if […]

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Crown Capital Broker Caught In Alternative Investment Scheme

Thomas Edward Burns III of Orange California a stockbroker currently registered with Crown Capital Securities LP has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he was negligent in his confirmation of customer assets on customers’ alternative investment account […]

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Regulator Bars Crown Capital Securities Stockbroker

August 02, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Michael Taylor Shuttlesworth, of Tuscaloosa, Alabama, a stockbroker formerly registered with Crown Capital Securities, L.P., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he did not provide information to FINRA that was requested of him concerning his activities. Case No. 2015047434801 (April 18, […]

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Crown Capital Securities Named In Customer Securities Arbitration

December 17, 2016  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Jack Graham Merritt, of Huntington Beach, California, a stockbroker currently registered with Crown Capital Securities, L.P., has been subject to a customer initiated investment related arbitration claim on November 2, 2015, which settled for $19,000.00 in damages. The arbitration claim was based upon allegations that Merritt breached his fiduciary and contractual duties to the customer, […]

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Crown Capital Securities Stockbroker Barred In Investigation

Eric Kuchel, of Brea, California, a stockbroker with Crown Capital Securities, L.P., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member per a Default Decision from FINRA’s Department of Enforcement containing findings that Brea failed to cooperate in a FINRA investigation into Kuchel’s alleged private securities transactions. Department of Enforcement v. […]

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