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Thomas Edward Burns III, of Crown Capital Securities, Fined for Errors in Alternative Investment Forms

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17
Feb

Thomas Edward Burns III, of Crown Capital Securities, Fined for Errors in Alternative Investment Forms

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Thomas Edward Burns III, of Crown Capital Securities, Fined for Errors in Alternative Investment Forms

Have you lost money with Thomas Edward Burns of Crown Capital Securities? 

 

We are currently investigating allegations made against Thomas Edward Burns III, a Lake Forest, California-based securities broker.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Burns, alleging that he negligently made numerous errors in alternative investment forms (AIO Forms).  FINRA alleged that he made some of these errors in connection with clients’ investments in real estate holdings, including tenant-in-common (TIC) investments.  To settle these allegations, Burns was fined $7,500 and suspended for two months from the securities industry.

 

Thomas Burns has been a registered representative of Crown Capital Securities from 1999 to the present.  He works at offices in Lake Forest and Orange, California. Burns has also been the subject of seven customer complaints, and he was also fined by the NASD in 2006 for sales in limited partnerships and TICs.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout California.  Our attorneys have recovered millions of dollard for investors against many brokerage firms in the past, including Crown Capital Securities.

 

Click to view:  Thomas Burns BrokerCheck

Click to view:  Thomas Burns FINRA AWC

 

If you lost money through Thomas Edward Burns or Crown Capital Securities, please CONTACT US at 720-599-3505 for a free evaluation of your case.

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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