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Dennis Riordan Formerly With Wynston Hill Capital, LLC And Aeon Capital Inc. Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Dennis Riordan formerly with Wynston Hill Capital, LLC?

Dennis Riordan (CRD #2412563) who was formerly registered with Wynston Hill Capital, LLC and located in Bronx, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wynston Hill Capital, LLC, Dennis Riordan was associated with Aeon Capital Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dennis Riordan has been suspended by FINRA and had his license revoked in 2 states.

Dennis Riordan Customer Complaints

Dennis Riordan has been the subject of 4 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Two of Dennis Riordan’s 4 customer complaints were settled in favor of investors. One of Dennis Riordan’s customer complaints was denied, and, to date, the customer has not taken any further action. There is currently 1 pending customer complaint filed against Dennis Riordan’s former employer Portfolio Advisors Alliance for investment losses caused by the alleged misconduct.  

Allegations Against Dennis Riordan

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

  • Unsuitable investment recommendation of a private placement investment.
  • Failure to follow customer’s instructions.
  • Excessive trading in unsuitable investments.
  • Unauthorized trading, fraud, misrepresentation, negligence, breach of contract and breach of fiduciary duty related to common and preferred stocks.

Dennis Riordan Red Flags & Your Rights As An Investor

Of course, Dennis Riordan 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 Dennis Riordan at Wynston Hill Capital, LLC and Aeon Capital Inc. on alert to review carefully the activity and performance of their accounts and question whether Dennis Riordan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wynston Hill Capital, LLC and Aeon Capital Inc. 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 Wynston Hill Capital, LLC Due To Dennis Riordan

If you have questions about Wynston Hill Capital, LLC, Aeon Capital Inc., and/or Dennis Riordan 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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