JCC Capital Markets, LLC Broker William Brian Candler Disclosed Customer Dispute

• February 16, 2026
• JCC Capital Markets

Broker’s Background

 

William Brian Candler (CRD #: 2802438) is registered with JCC Capital Markets, LLC. He is located in Overland Park, KS. Candler’s past employers include JCC Advisors, LLC, Connor Capital Investments, LLC, Burch & Company, Inc., Argent Investment Services, Inc., VSR Financial Service, Inc., Cabin Securities, Inc., Cabin Advisors, LLC and JCC Capital Markets, LLC.

 

Current and Past Allegations of Conduct Leading to Investment Loss

 

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in December 2025, William Brian Candler became the subject of a customer dispute alleging, “fraud, misrepresentation, omissions of material facts, unsuitable recommendations, breech of contract, and breach of fiduciary duty.” The damage amount requested is $3,400,000.00.

 

In addition, William Brian Candler has been the subject of one past FINRA disclosure, resulting in a suspension from FINRA for the following:

 

“CANDLER WAS NAMED A RESPONDENT IN A FINRA COMPLAINT ALLEGING THAT AS HIS MEMBER FIRM’S SUPERVISORY PRINCIPAL HE FAILED TO CONDUCT REASONABLE DUE DILIGENCE REGARDING A PRIVATE PLACEMENT THAT THE FIRM SOLD DIRECTLY TO RETAIL INVESTORS. THE COMPLAINT ALLEGES THAT AS A RESULT, THE FIRM LACKED A REASONABLE BASIS TO BELIEVE THAT THE PRIVATE PLACEMENT WAS SUITABLE FOR ANY INVESTOR. THE OFFERING WAS LATER DISCOVERED TO BE A PONZI SCHEME AND CUSTOMERS WHO PURCHASED INTERESTS IN IT LOST THEIR COLLECTIVE INVESTMENT PRINCIPAL OF APPROXIMATELY $560,000. THE COMPLAINT ALSO ALLEGES THAT CANDLER FAILED TO RETAIN AND REVIEW BUSINESS-RELATED CORRESPONDENCE. THE COMPLAINT FURTHER ALLEGES THAT CANDLER PROVIDED MEDALLION SIGNATURE GUARANTEES FOR NUMEROUS PRE-SIGNED SECURITIES ASSIGNMENT FORMS WITHOUT HAVING THE FORMS SIGNED IN HIS PRESENCE OR OTHERWISE VERIFYING THEIR AUTHENTICITY BEFORE HAVING ESTABLISHED ANY SUPERVISORY SYSTEM FOR THE FIRM’S MEDALLION SIGNATURE GUARANTEE PROGRAM. FOLLOWING THE RECEIPT OF A COMPLAINT THAT CANDLER IMPROPERLY PROVIDED SIGNATURE GUARANTEES IN CONNECTION WITH CERTAIN SECURITIES TRANSFERS, HE ESTABLISHED WRITTEN SUPERVISORY PROCEDURES (WSPS) GOVERNING THE FIRM’S ACTIVITIES AS A GUARANTOR. HOWEVER, THE FIRM’S PROCEDURES STILL DID NOT REQUIRE IT TO VERIFY THE AUTHENTICITY, AUTHORITY, AND CAPACITY OF THE SIGNATORY ON A SECURITIES TRANSFER FORM BEFORE PROVIDING A MEDALLION GUARANTEE. IN ADDITION, THE COMPLAINT ALLEGES THAT THE FIRM’S WSPS DID NOT INCLUDE APPROPRIATE PROVISIONS TO ENSURE THAT ITS STANDARDS REGARDING COMMUNICATIONS WITH THE PUBLIC WERE IMPLEMENTED AND FOLLOWED AND CANDLER DID NOT ENFORCE WSPS THAT REQUIRED IT TO PRESERVE ALL BUSINESS EMAIL. MOREOVER, THE COMPLAINT ALLEGES THAT ACCORDING TO THE FIRM’S WSPS, CANDLER WAS DELEGATED THE RESPONSIBILITY FOR THE OVERALL SUPERVISION AT THE FIRM AND THAT ALTHOUGH THE FIRM HAD WSPS THAT GENERALLY ADDRESSED THE SUPERVISION OF ITS PRIVATE PLACEMENT ACTIVITIES, THEY WERE OFTEN INSUFFICIENTLY TAILORED TO THE NATURE OF ITS BUSINESS AND AMOUNTED TO A SUPERVISORY SYSTEM THAT WAS NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE APPLICABLE LAWS AND REGULATIONS.”

 

For a copy of William Brian Candler’s FINRA Broker Check, click here

 

 

We Help Investors Recover Investment Losses

 

Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

 

Reasonable basis suitability requires that a recommended investment or investment strategy be suitable or appropriate for at least some investors. Reasonable basis suitability requires an advisor to conduct adequate due diligence so that he or she can determine the risks and rewards of the investment or investment strategy.

 

Customer-specific suitability requires that a member or associated person have a reasonable basis to believe that the recommendation is suitable for a particular customer based on that customer’s investment profile. Among the criteria that a financial advisor must evaluate to satisfy his or her customer-specific suitability obligations include the investor’s age, tax status, time horizon, liquidity needs, and risk tolerance; a client’s other investments, financial situation and needs, investment objectives, and any other information disclosed by the customer should also be considered.

 

Quantitative suitability requires a brokerage firm or financial advisor with actual or de facto control over a customer’s account to have a reasonable basis for believing that a series of recommended transactions – even if suitable when viewed in isolation – is not excessive and unsuitable for the customer when taken together in light of the customer’s investment profile. No single test defines excessive activity, but factors such as the turnover rate, the cost-equity ratio, and the use of in-and-out trading in a customer’s account may provide a basis for a finding that a member or associated person has violated the quantitative suitability obligation. Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

 

The Wolper Law Firm represents investors nationwide in securities litigation and arbitration on a contingency fee basis. Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies, and securities. Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters. We can be reached at (855) 289-7868 or by email at mwolper@wolperlawfirm.com