Fitapelli Kurta is interested in speaking to investors who have complaints regarding Crown Capital Securities. Crown Capital Securities is a broker-dealer firm, classified as a limited partnership. Crown Capital Securities was formed in Delaware in 1999.
Crown Capital Securities is registered with both the SEC and FINRA and has offices in 51 U.S. states and territories. Crown Capital Securities is located at 725 Town & Country Rd. Suite 530 Orange, California.
Crown Capital Securities has four regulatory events and has two arbitration awards entered against it, according to its BrokerCheck Report.
On November 10, 2014, Crown Capital Securities was fined $12,500 by the State of Alaska for failing to properly disclose orders made on behalf of a customer. The firm’s website also stated that it was licensed to sell insurance products in Oregon, Utah and Washington, which it was not.
On June 20, 2013, Crown Capital Securities was fined $15,000 by FINRA when it failed to transmit almost all of its reportable order events on numerous business days. Crown Capital Securities also failed to provide written evidence that it performed necessary supervisory reviews of its order audit trail system compliance.
On August 20, 2012, a FINRA arbitration panel entered an award of $277,468 against Crown Capital Securities. The complaint stemmed from Crown Capital Securities’ misrepresenting material facts related to an investment in Real Estate Investment Trusts. For more information on this arbitration award, click here.
On June 4, 2009, Crown Capital Securities was fined $15,000 by the State of Nevada for failing to license two of its investment adviser representatives in the state.
On December 31, 2003, Crown Capital Securities was fined $5,000 for failing to report customer complaints.
If you or someone you know has lost money investing with Crown Capital Securities or one 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.
Our consultations are always free.
Call 877 – 238 – 4175 now.
As a note to investors, Crown Capital Securities also goes by the following names: DELTA BROKER HOLDINGS, LLC, ERIC EQUI