The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Kenneth Neuner. Kenneth Neuner was a Texas based securities broker. He worked in the securities industry for twenty-one years. During his career, he was registered with four different securities firms. He is no longer working as a registered securities broker in any fashion.

His Registrations

  • Dominion Capital Corporation (1996)
  • VSR Financial Services (1996-2016)
  • Summit Brokerage Services (2016-2017)
  • TCFG Wealth Management (2017)

The Allegations

Kenneth Neuner’s publicly available FINRA BrokerCheck report shows that he was terminated from his position at Summit Brokerage Services in March 2017. This followed allegations that he exercised discretion without written authorization from the account holder and without the firm having accepted the account as suitable for discretionary trading. Kenneth Neuner was eventually sanctioned by FINRA in October 2017 following the above mentioned allegations. After allegedly failing to comply with a FINRA investigation into the matter, he was barred by FINRA from acting as a securities broker in any fashion.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.

Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Kenneth Neuner, please contact Oakes & Fosher for a free and private consultation. We work on a contingency basis which means there are no fees unless we collect for you.