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Broker Complaints: St. Bernard Financial Services (CRD# 36956)

St. Bernard Financial ServicesThe securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding the Arkansas-based brokerage and advisory firm St. Bernard Financial Services (CRD# 36956).

Formed in Arkansas in 1994, St. Bernard Financial Services is headquartered in Russellville, Arkansas and registered in twenty-two US states. Robert Keenan, Jr. serves as Chief Executive Officer and Chief Compliance Officer; Joseph Andrew Miles serves as Director of Retail Fixed Income.

According to its BrokerCheck report, St. Bernard Financial Services is the subject of four regulatory sanctions.

In 2014 the State of Arkansas sanctioned St. Bernard Financial Services following allegations the firm failed to failed to maintain adequate supervisory policies to detect and monitor the use of outside email systems. St. Bernard was issued a fine of $25,000.

In 2010 the Arkansas Securities Department sanctioned St. Bernard following allegations the firm employed representatives who were not properly registered in the state. St. Bernard Financial Services was issued a fine of $6,500.

In 2007 the National Association of Securities Dealers (NASD) sanctioned St. Bernard Financial Services following allegations, among others, that the firm engaged in securities business when its net capital was below the required minimum. St. Bernard was issued a fine of $5,000.

In 2003 the National Association of Securities Dealers (NASD) sanctioned St. Bernard following allegations the firm allowed its net capital to fall below the required minimum. St. Bernard Financial Services was issued a fine of $2,500.

If you have lost money investing with St. Bernard Financial Services, you may be entitled to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency, which means we only get paid if and when you recover money.  Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.