Investors potentially experienced sales practice violations by securities broker Brian Dunn [CRD: 4574012, San Francisco, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brian Dunn worked for Mercury Investment Services LLC from March 14, 2024, to January 22, 2025, and previously worked for Growth Capital Services Inc. from June 4, 2003, to March 14, 2022. Investors are encouraged to continue reading to find out more about the disclosures involving Dunn.
Particularly, on January 23, 2024, a Growth Capital Services Inc. client filed FINRA Arbitration No. 24-00172 about Brian Dunn. Mainly, the client alleged that Dunn committed sales practice violations in connection with private placements. Because of this, the client allegedly sustained damages connected to the private placements. As a result, the client requested $2,000,000 in compensation from Growth Capital Services Inc. or Dunn. BrokerCheck shows that this arbitration awaits a resolution.
Additionally, a client of Growth Capital Services Inc. contested Brian Dunn’s sales practices by filing FINRA Arbitration No. 23-01081 on April 21, 2023. Allegedly, Dunn failed to supervise certain representatives. It appears that Dunn allegedly caused the client to sustain damages linked to private placements. Therefore, the client seeks compensation from Growth Capital Services Inc. or Dunn in the amount of $100,000 in this ongoing matter.
Did you experience losses because of Brian Dunn? Contact Soreide Law Group at (888) 760-6552 or online and speak to a securities lawyer concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, our securities attorneys represent investors on a contingency fee basis and advance all costs. Dunn and brokerage firms Dunn worked for deny accusations of sales practice violations.
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Investors might have sustained losses due to securities broker Roger Allan Roemmich [CRD: 1293322, Red Bank, New Jersey], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roger Roemmich worked for Alexander Capital LP from October 2, 2020, to May 30, 2025, as a general securities representative. See below to learn more about […]
Investors potentially incurred losses because of securities broker Avinesh Kumar Shankar [CRD: 6232970, Roseville, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Avinesh Shankar worked for Pruco Securities LLC from October 9, 2019, to March 13, 2024. Investors are encouraged to continue reading to find out more about the disclosures involving Shankar […]
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