Tag Archives: NPB Financial Group LLC

Investors File Securities Arbitration Claim Against First Allied Securities

October 08, 2021  |   Posted by :   |   Alternative Investments, Failure to Conduct Due Diligence, FINRA Securities Arbitration, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Investors File Securities Arbitration Claim Against First Allied Securities

Kimberly Ann Barentsen (also known as Kimberly Ann Berentsen, Kimberly Ann Bietema, and Kimberly Ann Bielema) of Walnut Creek California a stockbroker formerly registered with First Allied Securities Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought between $100,000.00 and $500,000.00 in damages based on allegations […]

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Investors Accuse NPB Financial Group Of Breach Of Fiduciary Duty

October 08, 2021  |   Posted by :   |   Breach of Fiduciary Duty, FINRA Securities Arbitration, Investment and Regulatory News, Stockbroker Theft, Unauthorized Trading   |   Comments Off on Investors Accuse NPB Financial Group Of Breach Of Fiduciary Duty

Cynthia Diane Cowden (also known as Cynthia Case) a stockbroker formerly registered with NPB Financial Group LLC is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $300,000.00 in damages based upon allegations of the violation of federal and state securities laws and the breach of a fiduciary […]

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FINRA Bars NPB Stockbroker For Fraudulent REIT Sales

November 04, 2020  |   Posted by :   |   Non-traded REITs, Securities Arbitration Claims, Securities Fraud, Unsuitable Investment Recommendations   |   Comments Off on FINRA Bars NPB Stockbroker For Fraudulent REIT Sales

Cynthia Diane Cowden (also known as Cynthia Case) of Lake Isabella California a stockbroker formerly registered with NPB Financial Group LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Cowden made unsuitable investment recommendations to investors and failed to be forthcoming with FINRA […]

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Investors Blame NFB Financial For Unauthorized Trading

Gary Gustave Benson of Encino California a stockbroker currently employed by NPB Financial Group LLC is referenced in a customer initiated investment related written complaint on August 22, 2017 where the customer sought unspecified damages supported by allegations that (1) unauthorized mutual fund trades were executed in the customer’s account and (2) transactions were effected […]

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