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Kevin McNeil Formerly With SW Financial, Dawson James Securities And Joseph Gunnar & Co. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Kevin McNeil formerly with SW Financial?

Kevin McNeil (CRD #4166684) who was formerly registered with SW Financial and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to SW Financial, Kevin McNeil was associated with Dawson James Securities, Joseph Gunnar & Co., and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Kevin McNeil Customer Complaints

Kevin McNeil has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Kevin McNeil’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Dawson James Securities and WestPark Capital for investment losses caused by Kevin McNeil’s alleged misconduct.

Allegations Against Kevin McNeil

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

  • Kevin McNeil’s alleged churning and unauthorized trades.
  • Unauthorized trading allegedly by Kevin McNeil.

Kevin McNeil Red Flags & Your Rights As An Investor

Of course, Kevin McNeil 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 Kevin McNeil at SW Financial, Dawson James Securities, and Joseph Gunnar & Co. on alert to review carefully the activity and performance of their accounts and question whether Kevin McNeil has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SW Financial, Dawson James Securities, and Joseph Gunnar & Co. 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 SW Financial Due To Kevin McNeil

If you have questions about SW Financial, Dawson James Securities, Joseph Gunnar & Co., and/or Kevin McNeil 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 $160 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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