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Broker Complaints: CFD Investments, Inc. (CRD# 25427)

Fitapelli Kurta is interested in speaking to investors who have complaints regarding CFD Investments, Inc. or any of its brokers.

CFD Investments, Inc. is an independent broker-dealer firm, based in Kokomo, Indiana. CFD Investments, Inc. is classified as a corporation and was incorporated under the laws of Indiana in 1986. CFD Investments, Inc. is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). CFD Investments, Inc. is registered in 52 U.S. states and territories.

On August 22, 2013 CFD Investments, Inc. was fined $100,000 for failing to supervise registered representative, John Haeffele, who stole approximately $409,000 from a CFD Investments, Inc. customer’s account. According to the Letter of Acceptance, Waiver and Consent (AWC), CFD Investments, Inc. was aware of several red flags that should have led CFD Investments, Inc. to further investigate John Haeffele, however CFD Investments, Inc. failed to properly supervise him.

Under FINRA Rules and federal securities laws, broker dealer firms like CFD Investments, Inc. have a duty to supervise their brokers and to ensure that they are complying with FINRA Rules. Broker-dealer firms also have a duty to ensure their brokers are recommending only suitable investments to their customers.

If you, or someone you know has lost money investing with CFD Investments, Inc. or any of its brokers, you may be entitled to full recovery of your losses. The attorneys at Fitapelli Kurta prosecute cases on behalf of investors like you who have lost money as a result of unsuitable investments. These cases are taken on a contingency fee basis only, which means our firm will not receive any compensation whatsoever unless and until you recover money.

Cases are filed with the Financial Industry Regulatory Authority (FINRA) and will submit to arbitration. Fitapelli Kurta has filed hundreds of cases before FINRA and has recovered millions on behalf of investors who have fallen victim to broker misconduct. Do not delay. Call 877 – 238 – 4175 to speak directly to an attorney and further discuss the merits of your case.