Investors potentially experienced sales practice violations because of securities broker Dennis Michael Azary [CRD: 2384263, Tampa, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Dennis Azary worked for Growth Capital Services Inc. from May 4, 2012, to February 8, 2022. He has since held registrations with Finalis Securities LLC in Daly City, California since January 24, 2022, and with Third Lake Associates LLC in Tampa, Florida since January 19, 2024. Below, you can learn more about the allegations involving Dennis Azary.
Particularly, on October 3, 2024, a Growth Capital Services client filed FINRA Arbitration No. 23-01081 about Dennis Azary. The client alleged that Azary was negligent, breached a contract, breached his fiduciary duty, and violated California securities laws. Because of this, the client allegedly sustained damages on oil and gas investments and direct investments. Therefore, the client requested $100,000.00 in compensation from Growth Capital Services or Azary. Evidently, this arbitration is pending a resolution.
Specifically, a client of Growth Capital Services contested Dennis Azary’s sales practices by filing FINRA Arbitration No. 24-00172 on February 2, 2024. Allegedly, Azary mishandled the sale of promissory notes and oil and gas investments related to energy companies and their affiliates, including Resolute Capital Partners, LTD LLC and Homebound Resources LLC. The complaint also referenced Choice Energy Holdings IV Fund LLC, Strategic Energy Assets VIII Referral Fund LLC, and Strategic Energy Assets VII LLC. It appears that Azary caused the client to sustain damages on promissory notes and direct investments. Therefore, the client seeks damages from Growth Capital Services or Azary in the amount of $2,000,000.00 in this ongoing matter.
A breach of fiduciary duty occurs when a financial advisor or broker fails to act in the best interests of their client. In the context of alternative investments—like oil and gas partnerships or promissory notes—this could mean recommending unsuitable products, failing to disclose risks, or placing firm profits ahead of the client’s financial well-being.
Are you concerned about your investments with Dennis Azary? You can contact Soreide Law Group online or at (888) 760-6552 and talk to a securities lawyer regarding a potential recovery of your investment losses. Soreide Law Group has helped recovered losses for clients located throughout the United States, works on a contingency fee basis, and advances all costs. Azary and any securities broker dealers / investment advisories Azary worked for deny accusations of sales practice violations.
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