Furgison Law Group investigates claims against Steven Ray Hinkle

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Steven Ray Hinkle, Dynasty Capital Partners, Inc., and JP Turner & Company, LLC. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

FINRA fines and suspends Steven Ray Hinkle

FINRA fined Steven Ray Hinkle (CRD #838034, Greenwood Village, Colorado) $10,000 and suspended him from association with any FINRA member in any principal capacity for 20 business days. Hinkle consented to the sanctions and to the entry of findings that he failed to establish, maintain, and enforce an adequate supervisory system and WSPs to review trades for excessive and unsuitable trading. The findings stated that Hinkle failed to reasonably supervise a registered representative despite being aware of several red flags that should have resulted in enhanced scrutiny and supervision of the registered representative’s activities, which exposed his customers to losses due to excessive trading or other sales practice violations. The findings also stated that Hinkle’s member firm required all registered representatives to use a firm-issued email address when conducting brokerdealer business. Hinkle used separate email addresses for business conducted by the firm and its affiliated registered investment advisor. A review of emails the firm provided showed instances in which Hinkle used the registered investment advisor firm email address to conduct firm business. The suspension was in effect from February 1, 2016, through February 29, 2016. (FINRA Case #2014038969301)

Investors Have the Right to Recover Their Losses

When investments are sold by brokerage firms licensed by FINRA, they are subject to the laws that FINRA enforces. The brokerage firms are responsible for ensuring that their brokers are trading fairly, ethically and in the best interest of their clients. Ideally, they would accomplish this through careful supervision. Unfortunately, too often this supervision has been inadequate to fully protect investors. If you purchased any investments through a representative of a registered brokerage firm and suffered loses through negligence or fraud, it immediately puts the brokerage firm at fault for failing to supervise their broker. FINRA law then dictates that you can hold the firm legally liable to recover your damages. 

Can I recover my investment losses?

If you lost a substantial portion of your retirement savings or other assets as a result of investments purchased through Steven Ray Hinkle, Dynasty Capital Partners, Inc., and JP Turner & Company, LLC., please contact us immediately. Our investment fraud lawyers have recovered millions of dollars from the largest banks, insurance companies and brokerage firms in the world on behalf of investment fraud victims. You may have certain legal rights that require your immediate attention. Time is of the essence in these claims. The sooner you act, the greater your chances of recovering your investment losses. Don't wait. Contact us TODAY for a FREE Consultation and case evaluation. We will tell you if you have a viable claim worth pursuing.