Former Summit Brokerage Services Broker Ken Neuner Consents to Permanent Ban from Securities Industry

Kenneth Bostian Neuner (Ken Neuner) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on investor protection and market integrity through effective and efficient regulation of the securities industry. The attorneys of Fishman Haygood Investment Fraud Lawyers are currently investigating claims filed against stockbroker Ken Neuner.

In October 2017, Ken Neuner was barred permanently from practicing as a broker. Ken Neuner worked for Summit Brokerage Services, Inc. in Dallas, Texas from September 2016 to March 2017.

Ken Neuner was previously associated with VSR Financial Services from 1996 to 2016, and he was associated with TCFG Wealth Management from April 2017 to May 2017.

FINRA alleges that Ken Neuner engaged in the following misconduct: refusing to participate in FINRA’s investigation into allegations that he exercised discretion without authorization (that he engaged in unauthorized trading).

Nuener was fired by Summit Brokerage Services in March 2017 for the unauthorized exercise of discretion.

If you invested money through Kenneth Bostian Neuner, we would like to talk to you. Fishman Haygood Investment Fraud Lawyers are experienced securities litigators. We have helped hundreds of clients recover their losses that were due to broker fraud or negligence. Contact us today to discuss your options and receive a free consultation.

Fishman Haygood Investment Fraud Lawyers represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.

Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood Investment Fraud lawyer today.

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