National investment loss lawyers KlaymanToskes is investigating broker Kenneth Arellano (CRD# 2660786) of LPL Financial and Cadaret, Grant & Co., Inc., who has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following his violation of FINRA rules by engaging in the use of a text messaging service that was not approved by the firm for securities-related business communications.
According to FINRA BrokerCheck, Kenneth John Arellano is currently registered as a broker/investment advisor with Cadaret, Grant & Co., Inc. in Rochester, NY and Liverpool, NY. Arellano was previously registered as a broker with LPL Financial in Rochester, NY.
Arellano’s Brokercheck report also discloses a previous customer complaint which alleged misrepresentations with respect to purchases of structured notes and a variable annuity. The complaint was settled in favor of the investor for $141,087.
Investors that suffered losses with Kenneth Arellano are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at lawrence@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
KlaymanToskes is a leading national investment loss law firm that represents the interests of investors throughout the world who have suffered losses due to broker misconduct, investment fraud, and securities violations.
The articles linked below contain important information relating to KlaymanToskes’ investigation of broker Kenneth Arellano:
If you suffered losses with Kenneth Arellano, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.
The firm has helped recover over $600 million* for investors, and can help you determine if your loss is due to financial advisor misconduct, unsuitable investment advice, and/or other securities violations.
*Exclusive of attorney’s fees and costs.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Kenneth Arellano. These signs could potentially indicate misrepresentation, omission, negligence, or misconduct. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Kenneth Arellano, or have concerns regarding your investment portfolio at M Holdings Securities and/or Lion Street Financial, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.