Investors may have faced losses because of securities broker Lacey Elizabeth Buteyn, also known as Lacey Elizabeth DePue [CRD: 4420482, San Diego, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Buteyn joined Kingswood Capital Partners LLC in San Diego, California on December 20, 2023, and Kingswood Wealth Advisors LLC in Plano, Texas on January 2, 2024. She also worked at Level Four Financial LLC and Williams Financial. Read on to learn more about the specific disclosures related to Lacey Buteyn's professional conduct.
Particularly, on November 3, 2023, Level Four Financial LLC allowed Buteyn to resign. Evidently, the securities firm alleged that Buteyn engaged in improper conduct with variable annuities and was permitted to resign following an internal review triggered by concerns from an annuity carrier.
Also, a client of Williams Financial contested Lacey Buteyn’s sales practices, according to a complaint dated July 15, 2019. Allegedly, Buteyn made unsuitable recommendations concerning private securities. It appears that Buteyn allegedly caused the client to sustain damages. So, the client sought compensation from Williams Financial or Buteyn. The firm closed this complaint without a resolution.
Did you experience losses because of any sales practice violation by financial advisor / securities broker Lacey Buteyn? If you have, get in touch with Soreide Law Group online or at (888) 760-6552 so you can talk to a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Buteyn and brokerage firms Buteyn worked for deny accusations of sales practice violations.
Investors apparently complained about securities broker Devlin H. Dwyer. [CRD: 6634140, Atlanta, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dwyer worked for Patrick Capital Markets LLC from November 22, 2016, to March 9, 2026. See below to find out more about the disclosures involving this securities broker. Patrick Capital Investor […]
Investors have reportedly disputed the sales practices of securities broker Jennifer Lasser Eilers (also known as Jennifer Ann Costello and Jennifer Ann Lasser) [CRD: 2410129, Niles, Illinois], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jennifer Eilers worked for BMO Harris Financial Advisors Inc. from February 19, 2021, to March 24, 2021, […]
Investors potentially experienced sales practice violations by securities broker Gabriel D. Candea (also known as Gabe Candea) [CRD: 5531840, Santee, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gabriel Candea worked for Emerson Equity LLC from January 14, 2022, to the present as a securities broker in Irvine, California, […]
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