Investor Alert: Kane H. Waller was name in FINRA Complaint for sharing customers’ material non-public block order info

FINRA Sanctions & Allegations of Misconduct

FINRA named Kane H. Waller (CRD #4537969) from Norwell, Massachusetts in a Complaint for sharing customers’ material non-public block order information with one of his most significant customers on the same side of the market. In addition, Waller executed trades for the customer in the same securities that were the subject of his improper disclosure while the block order information was non-public.

Investors Have the Right to Recover Their Losses

When investments are sold by brokerage firms licensed by FINRA, they are subject to the laws that FINRA enforces. The brokerage firms are responsible for ensuring that their brokers are trading fairly, ethically and in the best interest of their clients. Ideally, they would accomplish this through careful supervision. Unfortunately, too often this supervision has been inadequate to fully protect investors. If you purchased any investments through a representative of a registered brokerage firm and suffered losses through negligence or fraud, it immediately puts the brokerage firm at fault for failing to supervise their broker. FINRA law then dictates that you can hold the firm legally liable to recover your damages.

Can I recover my investment losses?

If you lost a substantial portion of your retirement savings or other assets as a result of investments purchased through CANACCORD GENUITY LLC, FIDELITY BROKERAGE SERVICES LLC , NATIONAL FINANCIAL SERVICES LLC or Kane H. Waller please contact us immediately. Our investment fraud lawyers have recovered millions of dollars from the largest banks, insurance companies, and brokerage firms in the world on behalf of investment fraud victims. You may have certain legal rights that require your immediate attention. Time is of the essence in these claims. The sooner you act, the greater your chances of recovering your investment losses. Don't wait. Contact us TODAY for a FREE Consultation and case evaluation. We will tell you if you have a viable claim worth pursuing.