Investors possibly experienced sales practice violations by securities broker Kevin Dauphinee [CRD: 5847437, Las Vegas, Nevada], according to public information on FINRA BrokerCheck. Evidently, Dauphinee worked for Portsmouth Financial Services from February 28, 2023, to October 18, 2023. See the following information to find out more about the disclosures related to Kevin Dauphinee.
A breach of fiduciary duty occurs when a securities broker or financial adviser fails to act in the best interest of their client. In the context of annuity strategies, this means the adviser might have recommended products or strategies that primarily benefited themselves or their firm rather than aligning with the client’s financial goals and risk tolerance. Such conduct can lead to unnecessary fees, illiquid investments, or unsuitable annuity products that cause financial harm to investors.
Also, on July 11, 2024, a Portsmouth Financial Services client filed FINRA Arbitration No. 24-01514 about Kevin Dauphinee. Mainly, the client alleged that Dauphinee recommended an investment strategy that was not in the client’s best interest. Because of this, the client allegedly sustained damages connected to fixed annuities and variable annuities. Consequently, the client requested $100,000 in compensation from Portsmouth Financial Services or Dauphinee. It appears that this arbitration is pending a resolution.
Do you have concerns or questions regarding investments you made with Kevin Dauphinee? You should contact Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer concerning a potential recovery of your investment losses. For years, Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee basis and advances all costs. Dauphinee and brokerage firms Dauphinee worked for deny accusations of sales practice violations.
Investors potentially incurred losses because of securities broker Sandeep Madhavan [CRD: 4673687, El Segundo, California], according to information disclosed through FINRA BrokerCheck. Madhavan has worked for Ameriprise Financial Services as a securities broker since August 15, 2003, and as a financial advisor since May 10, 2007. Continue reading to find out more about the disclosed […]
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