A customer dispute disclosure on John McKee's BrokerCheck report names Dfpg Investments as the firm. McKee's CRD number is 1931547. The claim is pending, and its $3,000,000 in alleged damages is an unproven figure. No arbitrator has ruled on it.
Newbridge Securities and Allen Klein (CRD 6953284) appear together in a pending customer arbitration filed August 17, 2026. The claim lists $250,000 in alleged damages and carries docket 26-01845. Its allegations are unproven, and no arbitrator has ruled on them.
The claim alleges fraud, breach of fiduciary duty, unsuitability and negligence, according to BrokerCheck. The disclosure lists a private placement as the product. All of these are pending allegations against Allen Klein.
A fiduciary duty allegation asks whether an adviser owed a customer loyalty and care, and whether the adviser met that duty. The first question is often the harder one, since the answer can turn on the relationship between the parties.
Negligence asks something narrower: did the broker use reasonable care? Unsuitability, by contrast, focuses on whether a recommendation fit the customer's situation.
When we review a claim like this, we ask what the customer was told and who told them. Nothing in this section describes the conduct of Allen Klein.
The purchase date matters because FINRA's arbitration code sets an eligibility period for claims. That clock runs from the event behind the claim, not from the day a customer filed. State deadlines can also apply, and they vary.
For that reason, a customer usually gathers purchase confirmations and offering documents early. Dates on those papers help a lawyer sort out which deadlines count. An investor looking at the Allen Klein record can also pull the full BrokerCheck report, which gives the filing date and docket number for each disclosure.
Nearly every brokerage account agreement has an arbitration clause, so investor disputes are usually heard in FINRA arbitration rather than in court. A case begins when the investor files a statement of claim with FINRA. The broker and the firm then file answers. The parties then choose a panel of one or three arbitrators by ranking and striking names on lists FINRA sends them. Discovery follows, and each side exchanges account statements, notes and other documents. Many cases settle before the hearing. The rest end with a written award, which the panel issues after a hearing. FINRA makes arbitration awards public. A settlement is not published as an award, so its amount appears only on the broker's BrokerCheck report.
FINRA member firms must supervise the activities of their brokers. If you have questions about an account that Allen Klein handled, call Soreide Law Group at (888) 760-6552. You can also reach us online to speak with a securities attorney. FINRA arbitration is a national forum, so we represent investors in FINRA arbitration across the country. We handle these claims on a contingency fee basis. Learn how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of November 4, 2026. Allegations in customer complaints and arbitrations are claims, not findings. Pending claims remain open and undecided. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
A customer dispute disclosure on John McKee's BrokerCheck report names Dfpg Investments as the firm. McKee's CRD number is 1931547. The claim is pending, and its $3,000,000 in alleged damages is an unproven figure. No arbitrator has ruled on it.
Newbridge Securities and Allen Klein (CRD 6953284) appear together in a pending customer arbitration filed August 17, 2026. The claim lists $250,000 in alleged damages and carries docket 26-01845. Its allegations are unproven, and no arbitrator has ruled on them.
October 2018 investment activity sits behind the newest pending arbitration on David Dahill's BrokerCheck report (CRD 6581024). Claimants filed it on August 4, 2026, naming Wealthforge Securities. The report also shows another pending DST claim at Realized Financial and a settled dispute over Skyloft DST. Both pending matters are unproven allegations, and no arbitrator has ruled on them.
Phone:
Fax: 1-954-760-6553
Email: [email protected]