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Broker Complaints: Lighthouse Capital Group (CRD# 169135)

The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding California-based brokerage firm Lighthouse Capital Group (CRD# 169135).

Formed in California in 2013, Lighthouse Capital Group is headquartered in Pasadena, California and registered with 34 US states and territories. Susana Kay Dryden is Chief Compliance Officer; Warren Jesse McEwin Thomas is Vice President; Steven Lee Thornton is Chief Financial Officer and Financial Operations Principal; Joshua Paul Ungerecht is President.

According to the firm’s BrokerCheck report, Lighthouse Capital Group is not the subject of any customer complaints or regulatory sanctions. However, a number of its current and former employees are the subject of such.

Warren Thomas (CRD# 2299254), who has been employed at Lighthouse Capital Group since 2014 and is presently the firm’s Vice President, is the subject of one customer complaint and one pending customer complaint.

In 2015 a customer alleged Warren Thomas, while employed at Sandlapper Securities, breached his fiduciary duty, breached his contract, acted negligently, and committed fraud in connection to investments in Coachman Energy’s Bakken Drilling Fund 3. The customer is seeking $200,000 in damages in the pending complaint.

In 2010 a customer alleged Warren Thomas, while employed at Omni Brokerage, recommended unsuitable investments in oil and gas investments. The complaint settled in 2011 for $14,999.

Rena Morris (CRD# 4867589), a broker who has been employed at Lighthouse Capital Group since 2014, is the subject of one customer complaint.

In 2010 a customer alleged Rena Morris, while employed at Omni Brokerage, committed elder abuse, acted negligently, and engaged in fraud. The complaint settled for $362,500.

If you have lost money investing with Lighthouse Capital Group, you may be eligible 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: Fitapelli Kurta only gets paid if and when you collect money. By law there is a limited window to file claims, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.