Investors potentially incurred losses because of securities broker Danny Ray Strain [CRD: 437903, Columbus, Georgia], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Strain worked for Cape Securities Inc. since November 3, 2008, Cape Investment Advisory Inc. since February 6, 2009, and Global Investment Advisory since March 19, 2026. Investors are encouraged to keep reading to find out more about Strain’s disclosures.
Evidently, a Cape Securities Inc. client filed FINRA Arbitration No. 23-03060 about Danny Strain. Mainly, the client alleged that Strain made misrepresentations and used misleading investment information regarding investments. For this reason, the client allegedly sustained damages pertaining to variable annuities and real estate investment trusts (REITs). Consequently, on September 14, 2024, Cape Securities Inc. settled this matter by paying the client $125,000 in damages.
Additionally, a client of Cape Securities Inc. contested Danny Strain’s sales practices by filing FINRA Arbitration No. 2302421. Allegedly, Strain made misrepresentations, made omissions, engaged in excessive trading, breached a contract, failed to supervise certain representatives, violated industry rules, and made unsuitable recommendations. It appears that Strain allegedly caused the client to suffer damages associated with variable annuities and real estate securities. As a result, Cape Securities Inc. opted to settle the matter on October 10, 2024, by compensating the client in the amount of $120,000.
Are you worried about investments you made through Danny Strain? Get in touch with Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for many clients throughout the United States. Also, our securities attorneys work on a contingency fee arrangement and advance all costs. Strain and brokerage firms Strain worked for deny any allegations of sales practice violations.
Investors potentially incurred losses because of securities broker Danny Ray Strain [CRD: 437903, Columbus, Georgia], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Strain worked for Cape Securities Inc. since November 3, 2008, Cape Investment Advisory Inc. since February 6, 2009, and Global Investment Advisory since March 19, 2026. Investors are encouraged to […]
Investors apparently complained about securities broker Andrew Templeton Murdoch [CRD: 4348536, Portland, Oregon], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Murdoch has been registered with Somerset Securities Inc. since July 16, 2019, and was previously associated with Somerset Wealth Management LLC from August 1, 2019, to August 30, 2022. […]
Investors might have sustained losses due to securities broker Shay W. Scruggs [CRD: 4173046, Houston, Texas], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shay Scruggs worked for Rockefeller Financial LLC and Rockefeller Capital Management since June 5, 2020, and previously worked for UBS Financial Services Inc. from May 2, 2014, […]
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