Articles Tagged with Dennis Ayre

shutterstock_143094109-300x200The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Dennis Ayre (Ayre), currently employed by Hilltop Securities Inc. (Hilltop Securities) has been subject to at least five customer complaints during the course of his career.  According to records kept by The Financial Industry Regulatory Authority (FINRA), Ayre’s customer complaints alleges that Ayre recommended unsuitable investments in various investments including allegations of concentrations in energy securities and corporate debt among other allegations of misconduct relating to the handling of their accounts.

In April 2020 a customer complained that Ayre violated the securities laws by alleging that Ayre, took excessive risk in the account in relation to the client’s stated objectives.  The claim alleges $52,058 in damages and settled for $20,823.06.

In March 2020 a customer complained that Ayre violated the securities laws by alleging that Ayre, engaged in unsuitable excessive concentration and risk.  The claim alleges $6,115,287 in damages and is currently pending.

In March 2020 a customer complained that Ayre violated the securities laws by alleging that Ayre, engaged in unsuitable excessive risk and strategy deviation.  The claim alleges $1,472,671 in damages and is currently pending.

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