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Dean Mings Formerly With The Tavenner Company Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Dean Mings formerly with The Tavenner Company?

Dean Mings (CRD #1197212) who was formerly registered with The Tavenner Company and located in Springfield, Ohio is a subject of one of our many securities industry sales practice abuse investigations.

Dean Mings Customer Complaints

Dean Mings has been the subject of 2 customer complaints that we know about. One of Dean Mings’ customers’ complaints was denied and the customer did not take any further action. There is currently one pending customer complaint filed against The Tavenner Company for investment losses caused by Dean Mings’ alleged misconduct.

Allegations Against Dean Mings

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Customer alleged that he did not know of the 82 basis point fund managers fee many years after the investment. The representative Dean Mings allegedly did not explain this fact or supply him with a prospectus.
  • Claimant alleged unsuitable recommendations related to the purchase of both annuities and life insurance, forgery of customer’s signature by registered representative, unethical and improper conduct by representative, Dean Mings by having power of attorney over customer and being named partial beneficiary of a variable annuity held by customer, and “Selling away” by assisting the customer with purchase of private security not approved by the firm.

Dean Mings Red Flags & Your Rights As An Investor

Of course, Dean Mings did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Dean Mings at The Tavenner Company on alert to review carefully the activity and performance of their accounts and question whether Dean Mings has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Tavenner Company also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At The Tavenner Company Due To Dean Mings

If you have questions about The Tavenner Company and/or Dean Mings and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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