UPDATE! Eric W. Kuchel and Crown Capital Securities Investigation
Eric W. Kuchel and Crown Capital Securities
Have you lost money with financial advisor Eric Kuchel of Brea, California? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Eric W. Kuchel. FINRA barred Kuchel from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Kuchel for mutual fund trading and private securities transactions made while he was with Crown Capital Securities. Kuchel was also recently terminated from his brokerage firm, LPL Financial, for this failure to respond.
Eric Kuchel was a financial advisor and registered representative of Crown Capital Securities, Inc. from July 2007 to November 2014 and with LPL Financial from November 2014 to November 2015. He worked at a branch office in Brea, California. Kuchel has been the subject of at least two customer complaints, alleging misrepresentations regarding the sales of private placements and tenant-in-common (TIC) interests.
Brokerage firms like Crown Capital Securities 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 Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.
Click to view: Kuchel FINRA AWC
Click to view: Kuchel BrokerCheck 1.7.16 (1)
HAVE YOU LOST MONEY WITH ERIC KUCHEL OR CROWN CAPITAL SECURITIES?
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