FRAUD ALERT! JOHN BENN of Peak Brokerage – Oklahoma City, OK
John Benn, formerly of Peak Brokerage Services, Subject of Oklahoma Securities Commission Action
Have you lost money with financial advisor John Benn of Oklahoma City, Oklahoma? We are investigating allegations by the Oklahoma Securities Commission against John William Benn. Oklahoma seeks to bar Benn from the securities industry, regarding allegations that Benn sold alleged investments in a private fund. Oklahoma alleged that Benn raised $300,000, but that the money was never invested and instead used to cover personal expenses, while he ran his company Bricktown Financial LLC.
John Benn was a financial advisor and registered representative of Peak Brokerage Services from August 2011 to December 2014. Benn was also registered with Supreme Alliance from January 2015 to January 2016. He worked at a branch office in Oklahoma City, Oklahoma. Benn ran Bricktown Financial from 2001 to 2017.
Brokerage firms like Peak Brokerage Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Phoenix, Arizona; Denver, Colorado; Ann Arbor, Michigan and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Oklahoma. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Benn, John Oklahoma Complaint
Click to view: Benn, John BrokerCheck 10.23.19
If you lost money with John Benn, Peak Brokerage Services or Supreme Alliance, please CONTACT US at 720-599-3505 for a free evaluation of your case.
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