Fight Back by Contacting the Crown Capital Securities Fraud Attorney
We expect our financial professionals and their firms to act responsibly and in reputable ways. The reality is that greed and thinking about a client’s needs last are causing problems within the industry. The Financial Industry Regulatory Authority (FINRA) regulates the financial sector and has strict rules to protect investors. A breach of these rules will seriously affect financial professionals and their firms, including fines, suspensions, or banning from the industry.
Crown Capital Securities is experiencing problems with FINRA because of increasing investor complaints. FINRA records show that the firm has eight regulatory events and two arbitrations.
We recommend speaking with a Crown Capital Securities fraud attorney if you lost money with Crown Capital Securities. These cases are complex and you need someone on your side that will stand up for you.
Why Choose Us?
The Wolper Law Firm levels the playing field for ordinary investors. They need to learn more about securities or trial law and have a skilled attorney to help them. Our attorneys have decades of experience working on these cases and getting results. We have a 99% success rate in recovering money for wronged investors in the cases we handle.
You will work with a skilled Crown Capital Securities fraud attorney that listens and understands. We see your challenges and are here to help with our knowledge, professionalism, and experience.
These factors help you to pursue Crown Capital Securities and hold the firm and its financial professionals accountable. The firm and individuals could be subject to various fines, compensatory damages, and restitution.
FINRA can also take things further by engaging in specific actions such as requalifying financial professionals on the licensing exams, suspensions, or banning them from the industry. We recommend speaking with a skilled attorney to guide you through this process.
We offer a free consultation where you can discuss your case with a skilled attorney at Wolper Law Firm. We recover money for wronged investors in 99% of our cases. Call Wolper Law Firm today at 954.406.1231 / 800.931.8452.
How Can We Help?
The Wolper Law Firm will give you practical advice you can use for pursuing your case against Crown Point Securities. You will work with a skilled professional that listens, knows the law, and has experience with these cases. We communicate effectively and will explain everything in simple terms. You will know what is happening and how the case progresses at each stage.
Your attorney will gather evidence, prepare for arbitration, negotiate with the other side, and represent you at the arbitration. We work to avoid going to arbitration, but sometimes the other side is entrenched in their position.
We offer a free consultation to speak with a skilled Crown Capital Securities investment loss attorney. They will go over your case and discuss what options we can pursue. You will know how our firm could help you to hold Crown Capital Securities accountable.
You are our top priority, and we ensure everything is on track with your case. Our clients give us five-star reviews, and we have a 99% success rate of recovering money for investors in the cases we handle. You will have less stress by knowing you have dedicated professionals on your side.
Time is of the essence in these cases, and the faster you react, the better it preserves critical evidence. We recommend speaking with an attorney immediately to learn about your options and how we can help you. Our free consultation is your chance to discuss the choices and determine what makes the most sense. These cases are complex, and we recommend working with a skilled attorney who can help you to navigate everything.
Arbitration is an excellent process, but it requires knowing your rights and seeking help. We make everything easy using our knowledge and experience. You can relax knowing you made the right decision by having dedicated professionals from the Wolper Law Firm working for you.
What is Crown Capital Securities?
Crown Capital Securities is both a brokerage and an advisory firm. The company helps its clients to build customized portfolios to meet their different goals, including
- Estate planning
- Trust management
- Retirement planning
- Debt management
- Cash flow analysis
- Tax planning
- Trust management
- Corporate planning
- Real estate
- Death and disability.
Crown Capital Securities is a fiduciary responsible for helping clients preserve and grow their wealth.
The firm seeks to build long-term investment strategies to generate growth and income in numerous areas. The company offers many products that are customized into individual portfolios, including
- Mutual funds
- Commercial paper
- Variable annuities
- Variable life products.
Crown Capital Securities uses different research methods to analyze and create investment plans.
We recommend contacting a Crown Capital Securities investment loss attorney if you are losing money with this firm. Your lawyer will review your case and discuss the different strategies we could pursue. Time is of the essence in these cases, and the sooner you act the better you will preserve evidence.
Crown Capital Securities Complaints are Rising
Crown Capital Securities is facing increasing regulatory challenges. In 2021, the SEC issued a cease and desist order for mutual fund transaction violations. The firm is legally required to disclose any conflicts of interest to investors. These include special arrangements such as commissions, revenue sharing, and other perks.
Crown Capital Securities did not disclose these conflicts of interest to investors. These violations were so extreme that the SEC intervened to prevent the firm’s mutual fund practices from harming investors.
Several different financial professionals are accused of engaging in illegal practices, including
- Making unsuitable recommendations
- Selling nonpublic securities to unqualified investors
- Failing to supervise personnel
- Failing to act as a fiduciary.
These are some of the regulatory issues that are rising against the firm and its employees.
We urge you to contact a Crown Capital Securities loss attorney right away. You will work with a skilled professional who can guide you while holding the firm and its financial professionals accountable. We will make things easier so you can focus and let our team handle everything.
What Are Crown Capital Securities and its Employees’ Responsibilities?
FINRA has a rule known as REG BI, which states that you must look out for the client’s best interest first. The interests of the financial professional and firm are secondary to the client.
The fact that Crown Capital Securities has so many regulatory issues shows the firm must watch out for its clients. The cases against the firm are mounting, and we can take regulatory actions to protect you.
We recommend contacting a skilled attorney who has knowledge and experience from working on these cases. Securities law is complex, and you need a competent professional who will get results.
Can You Sue Crown Capital Securities?
The simple answer is yes, but it is more complicated than knowing if you can or cannot sue. Most investors gave up their right to sue in court when they signed an arbitration agreement. Typically, these are included with the new account paperwork, and you could overlook the arbitration section.
FINRA’s arbitration process settles disputes much faster and for less money than going to court. The odds are excellent that we can prevail using Reg BI and other industry rules to show how you are entitled to damages.
A skilled attorney will represent you throughout the arbitration and work to negotiate a strong settlement for you. Our firm has a 99% success rate in recovering money for our clients in the cases we handle.
What is Reg BI?
Reg BI was implemented in 2019 by FINRA to regulate broker-dealers, advisory firms, investment advisors, and brokers. It sets the best interest standard that financial professionals and their firms must meet when making recommendations to clients. These include their income, net worth, investment profile, financial situation, needs, liquidity, and unique factors.
Reg BI requires firms to disclose conflicts of interest, track records, and disciplinary issues. All recommendations must comply with Reg BI, or the firm and its employees are liable for the losses investors realize.
Crown Point Capital Securities has to follow Reg BI. We recommend speaking with a Crown Point Capital Securities loss attorney if you think your broker or the firm violated Reg BI. Reg BI is here to protect you, but it is a complex regulation and requires a skilled attorney to prove your case.
We will represent you throughout FINRA’s arbitration process to ensure an objective third party hears your case. Reg BI could apply to your case, and we can effectively argue where it was breached with your accounts. We do everything from filing the claim to negotiating the final settlement. You could be eligible for compensatory damage, attorneys fees, and punitive damages.
Reg BI’s goal is to protect investors from conflicts of interest and ensure that firm and financial professionals act in the client’s best interests. Our Crown Capital lending and loss attorney can help you to navigate this process.
Talk to a Crown Capital Securities Fraud Attorney at Wolper Law Firm Today
The Wolper Law Firm has the knowledge and experience to handle these cases. We practice securities and trial law and will get results for you. You work with a Crown Capital Investment loss attorney to review your case and discuss the options we could pursue.
We offer a free consultation where you can discuss your case and find out how you could hold Crown Capital Securities accountable. You are under no obligation, and everything we discuss is confidential. Contact us at 954.406.1231 / 800.931.8452 to set up your free consultation with a skilled attorney.