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Articles Tagged with Crown Capital Securities

Crown Capital Securities Broker Has Four Customer Disputes On Record

Lanny Ray Howarter, a Crown Capital Securities registered representative, is named in a more than $624K Financial Industry Regulatory Authority (FINRA) arbitration claim accusing him of unsuitability, negligence, breach of fiduciary duty, omissions, and negligence involving alternative investment products. This latest customer dispute was brought in November 2020.

At Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com), our San Diego broker fraud attorneys are looking into claims involving Lanny Howarter and other Crown Capital Securities registered representatives who may have sold investments to customers even when they were unsuitable for their portfolios and risk tolerance levels. 

Watsonville, CA Financial Advisor is Also Barroga & Associates President

If you are an investor who has suffered significant losses while working with Crown Capital Securities broker, Kenneth James Barroga, our California securities fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) want to talk to you. 

Barroga, who also is the head of Barroga & Associates out of Watsonville, CA,  may have sold GPB private placements to customers. He is both a registered stockbroker and investment advisor. 

Crown Capital Securities Broker Was Recently Named in Four FINRA Arbitration Claims  

Dennis Haywood, a Crown Capital Securities broker, is now named in four customer disputes, all of which were filed in the last two months with the Financial Industry Regulatory Authority (FINRA). Haywood is also a Purepath Wealth Management investment adviser. 

The claimants are accusing him of making inappropriate investment recommendations of non-traded real estate investment trusts (non-traded REITs), non-traded business development companies (BDCs), alternative investments, and variable annuities (VA).

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