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.
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Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
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