Clint Keener, formerly with Capital City Securities, Barred from Securities Industry

Have you lost money with financial advisor Clint Harley Keener from Powell, Ohio?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Mr. Keener. FINRA barred him from the securities industry after he failed to respond to an investigation.  Keener was being investigated regarding allegations that he made unsuitable investment recommendations.

Clint Keener was a registered representative and financial advisor with Capital City Securities from May 2012 to October 2019.  He worked out of a branch office in Powell, Ohio.  He has been the subject of five customer complaints and three regulatory actions.

Broker-dealers like Capital City Securities have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives.  Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations.  When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Ohio.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view:  Keener, Clint FINRA AWC

Click to view:  Keener, Clint BrokerCheck 11.13.19

If you have lost money with Clint Keener and Capital City Securities, and want to hear about ALL legal options, please CONTACT ISRAELS & NEUMAN at 720-599-3505.