Written by The White Law Group• November 14, 2019• 2:32 pm• Blog, Current Investigations

Clint H. Keener Broker Investigation

Financial Advisor Clint H. Keener, Capital City Securities in Powell, Ohio

Are you concerned about investments with Clint H. Keener in Powell, Ohio? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim.

According to the Financial Industry Regulatory Authority on November 12, the regulator has reportedly barred financial advisor Clint H. Keener after he allegedly refused to appear for FINRA on-the-record testimony requested in connection with an investigation into potential unsuitable recommendations by him.

According to his FINRA BrokerCheck report, Keener was reportedly affiliated with Capital City Securities in Powell, Ohio from 2012 until 2019. Keener reportedly has 3 regulatory disclosures, one alleged employment separation in 2008 from Stifel Nicolaus for allegations of unauthorized trades and 5 alleged customer complaints, according to his broker report.

Investigating Potential Lawsuits

The White Law Group is investigating potential lawsuits regarding the liability that Keener’s employers may have for failure to properly supervise him.

When brokers violate securities laws, such as making unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration.

Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee.

We represent investors in FINRA arbitration claims in all 50 states, including Ohio. Our attorneys have recovered millions of dollars from many brokerage firms in the past.