One or more investors apparently complained about securities broker Gene Earl Griffin [CRD: 1637650, Terre Haute, Indiana], according to disclosures on FINRA BrokerCheck. Evidently, Gene Griffin has been a registered representative of CFD Investments Inc. since January 16, 2001, and is also associated with Creative Financial Designs Inc. These firms are both located in Indiana, where Griffin has operated for several decades. See the following information to learn more about the allegations involving this securities broker and the nature of the pending complaint.
Particularly, on July 20, 2024, a CFD Investments Inc. client filed a complaint about Gene Griffin. The client alleged that Griffin failed to execute a stop loss order. According to the disclosure, the client made an unsolicited purchase of Peloton (PTON) stock and had requested that a stop-loss order be placed at that time. The client claims that this stop-loss order was never implemented, leading to financial losses. Because of this, the client allegedly sustained damages. Therefore, the client requested $71,000.00 in compensation from CFD Investments Inc. or Griffin.
In the financial industry, a “failure to execute” allegation arises when a broker or financial advisor does not carry out a client’s trade order as instructed. This could involve not buying or selling an investment at the requested price. It might involve failing to place stop-loss orders designed to limit a client’s potential losses. When brokers fail to follow such instructions, it can lead to significant and preventable financial damage for the client. These situations often result in disputes, especially if the broker was clearly given directions that were not followed.
Did you experience losses because of Gene Griffin? Feel free to reach out to Soreide Law Group online or at (888) 760-6552. Speak with a securities attorney about a possible recovery of investment-related losses. Soreide Law Group is experienced with recovering losses for clients located throughout the United States. The firm takes cases on a contingency fee basis and advances all costs. Griffin and brokerage firms Griffin worked for deny any allegations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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