ATTENTION INVESTORS: Customer Fraud Claim Concerns CFD INVESTMENTS, BRETT BACON

Brett Michael Bacon (CRD#: 6080375, Lenexa, Kansas) is presently a securities broker of CFD Investments, Inc. The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Bacon shows that CFD Investments customers complained about his activities. The matter, summarized below, raises allegations of the firm or Bacon committing fraud and breaching of fiduciary duty.

FINRA Arbitration Involving Brett Bacon, Allegations Of Fraudulent Private Placement Investments

Apparently, several customers together filed a FINRA Arbitration #18-00099 on January 15, 2018 in regard to Bacon’s sales practices. First, the customers claimed that Bacon sold oil and gas private placements to the customers while making omissions and misrepresentations. Secondly, the firm or Bacon failed to act in the customers' best interest in selling them the private placements. The customers claimed that Bacon or the firm did not comply with industry rules or standards, or otherwise failed to conduct business in a reasonable manner. Thirdly, the customers claimed that Bacon’s private placement sales were fraudulent. Finally, CFD Investments allegedly failed to supervise Bacon’s activities, which caused the customers harm. Because of this, on April 5, 2018, CFD Investments Inc. agreed to pay the customers $45,000.00 to settle the claim.
Bacon has been a licensed securities broker since October 11, 2012. Evidently, he worked for Waddell & Reed (Leawood, Kansas) from October 11, 2012 to January 9, 2015. Bacon became a securities broker for CFD Investments, Inc. (which also goes by the name CFD Securities, Inc.) on January 5, 2015.

Did Brett Bacon Sell You Unsuitable Investments?

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