Articles Tagged with Ausdal Financial Partners

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hurckes (Hurckes), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hurckes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $625,000.00 on January 22, 2026.

Violation of Federal Securities Laws; Violation of IL Securities Law; Violation of IL Consumer Fraud and Deceptive Business Practices Act; Breach of Contract; Common Law Fraud; Breach of Fiduciary Duty; Negligence and Gross Negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Smith (Smith), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $124,692.25 on February 05, 2026.

Incorporation of Recitals and Regulatory Standards, Unauthorized Liquidation and Distribution of assets, Negligence, Breach of Fiduciary Duty, Supervisory Failures and Admissions, Breach of Contract. Allegations are related to the liquidation and distribution of assets from the client's account due to her reps email being compromised and distribution requests being submitted with signatures that appeared to be the from the client and the rep.

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Previously financial advisor Mark Macarthur (Macarthur), previously employed by brokerage firm Ausdal Financial Partners, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on April 15, 2026.

Unsuitable investments and lack of supervision related to private placements purchased in 2013 by the client’s late spouse, and investments within an advisory account with the Rep’s approved outside RIA.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Duncan (Duncan), previously associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Duncan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $95,000.00 on December 28, 2020.

Unsuitable investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk Daniels (Daniels), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Daniels recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $7,500.00 on March 18, 2026.

Inaccurate advice related to ROTH contributions over multiple years.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Kiley (Kiley), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kiley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,138,244.00 on June 30, 2020.

Clients allege products sold were unsuitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Wolfe (Wolfe), currently associated with Ausdal Financial Partners, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wolfe recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $446,000.00 on January 09, 2026.

Violation of the IL Securities Law; Violation of the IL Consumer Fraud and Deceptive Practices Act; Breach of Fiduciary; Violation of FINRA rules; Negligence and Negligent Supervision; Breach of Contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Nagle (Nagle), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nagle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on December 08, 2025.

Breach of Contract; Violation of Federal Securities Laws; Violation of IL Securities Law; Violation of IL Consumer Fraud and Deceptive Business Practices Act; Common Law Fraud

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy O’brien (O’brien), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that O’brien recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $220,000.00 on October 10, 2024.

Breach of fiduciary duty, negligence, breach of contract, negligent supervision, violation of applicable laws and industry rules; unsuitable recommendation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Epps (Epps), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Epps recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 17, 2021.

Violations of FINRA rules, Negligence, Breach of Fiduciary Duty

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