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Dwight Kay Of Finex Capital, LLC And Formerly With Growth Capital Services, Inc. and Wealthforge Securities, LLC Has 7 Customer Complaints For Alleged Broker Misconduct

Who is Dwight Kay of Finex Capital, LLC?

Dwight Kay

Dwight Kay (CRD #5376903) who is currently registered as a broker with Finex Capital, LLC and located in Indianapolis, Indiana, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Finex Capital, LLC, Dwight Kay was associated with Growth Capital Services, Inc., Wealthforge Securities, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Dwight Kay Customer Complaints

Dwight Kay has been the subject of 7 customer complaints that we know about to recover investment losses. One customer complaint was denied by Independent Financial Group and the investor took no further action. The other 6 customer complaints recently filed are still pending and FINRA arbitration proceedings filed against Wealthforge Securities for Dwight Kay’s alleged misconduct.

Allegations Against Dwight Kay

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

  • Failure to conduct due diligence,
  • Failure to disclose material facts,
  • Unsuitable investment recommendations,
  • Misrepresentations and omissions.
  • Breach of fiduciary duty.
  • Various allegations of misconduct related to NP Skyloft DST private placement investment.

Dwight Kay Red Flags & Your Rights As An Investor

Of course, Dwight Kay 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 Dwight Kay at Finex Capital, LLC, Growth Capital Services, Inc. and Wealthforge Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Finex Capital, LLC, Growth Capital Services, Inc. and Wealthforge Securities, LLC has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Finex Capital, LLC, Growth Capital Services, Inc. and Wealthforge Securities, LLC 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.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Finex Capital, LLC Due To Dwight Kay

If you have questions about Finex Capital, LLC, Growth Capital Services, Inc. Wealthforge Securities, LLC and/or Dwight Kay 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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