UPDATE 4/11/2020: According to FINRA’s February 2020 Disciplinary Actions: “Kane H. Waller (CRD #4537969, Norwell, Massachusetts) December 2, 2019 – Waller was named a respondent in a FINRA complaint alleging that he shared customers’ material non-public block order information with one of his most significant customers on the same side of the market. The complaint alleges that in each instance, Waller executed trades for the customer in the same securities that were the subject of his improper disclosure while the block order information was non-public. On at least two of these occasions, the customer instructed Waller to trade ahead of the other customer’s order. After discovering his misconduct, Waller’s member firm warned him that his conduct was not acceptable. Yet Waller engaged in the misconduct again. (FINRA Case #2017055164001)”
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Kane Waller. If you suffered losses investing with Kane Waller, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Kane Waller (CRD# 4537969)
As of April 12, 2020, Kane Waller’s FINRA BrokerCheck Report contains the following:
Disclosure Events
2 Regulatory Event(s)
1 Employment Separation After Allegations
Current and Previous Registrations
10/04/2017 – PRESENT CANACCORD GENUITY LLC (CRD#:1020) BOSTON, MA
03/25/2003 – 08/04/2017 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) BOSTON, MA
07/15/2002 – 08/04/2017 NATIONAL FINANCIAL SERVICES LLC (CRD#:13041) BOSTON, MA
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Kane Waller and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
