Last Updated: February 2026 — Overland Park, KS
Here’s what you need to know about Overland Park, Kansas stockbroker William Brian Candler, based on his FINRA BrokerCheck report
- Name:William Brian Candler
- Current Employer:
- Cabin Securities, Inc.
- JCC Capital Markets, LLC
- Cabin Advisors, LLC
- Prior Firms:
- JCC Advisors, LLC
- Connor Capital Investments, LLC
- Burch & Company, Inc.
- Argent Investment Services, Inc.
- VSR Financial Services, Inc.
- Other Business Affiliations:
- Valley Pointe, LLC (Member)
- Directpost Inc. (Minority Owner)
- Ozark Kri-Kri, LLC (animal breeding)
- CRD Number: 2802438
- Stockbroker / Financial Advisor:Yes
- Can Broker be Sued in FINRA:Yes
- Sanctioned by Securities Regulators:Yes (private placements)
- Current Customer Dispute Seeks Total Damages of:$3,400,000
If you’ve sustained damages from Mr. Candler, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Brian Candler as Your Stockbroker?
Brian Candler has been the subject of both a regulatory discipline and a significant pending customer arbitration, both of which involve private placement and Reg D real estate investments.
Pending FINRA Arbitration December 2025- a customer of Cabin Securites filed FINRA Case No.: 25-02807 alleging fraud, misrepresentation, omissions of material facts, unsuitable recommendations, breach of contract, and breach of fiduciary duty in connection with a Reg D private placement real estate security. Damages of $3.4 million are sought in this pending matter. Prior
FINRA Regulatory Action June 2016 – FINRA found that Mr. Candler, acting as supervisory principal of his prior firm ARI Financial Services, failed to conduct reasonable due diligence on a private placement that was later discovered to be a Ponzi scheme, resulting in investor losses of approximately $560,000. FINRA also found failures relating to supervision, written supervisory procedures, recordkeeping of business correspondence, and improper use of medallion signature guarantees.
FINRA censured Candler for 1 days and fined him $2,500.
FINRA specifically found a failure to supervise, implicating supervisory obligations under FINRA Rule 3110, as well as suitability and due diligence standards applicable to private placements.
Private Placements under Reg D: What is a Private Placement? According to the U.S. Securities and Exchange Commission (SEC):
“Under the federal securities laws, a company may not offer or sell securities unless the offering has been registered with the SEC or an exemption from registration is available. Offerings exempt from the SEC’s registration requirements pursuant to Securities Act Section 4(a)(2) or its safe harbor under Regulation D of the Securities Act are often referred to as private placements.”
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk. For more investigations involving Alternative Investments, see this.
Allegations of Broker Misconduct Against William Brian Candler
- Unsuitable Recommendations— recommending private placement investments without a reasonable basis, implicating FINRA Rule 2111 (Suitability).
- Failure to Conduct Adequate Due Diligence— particularly with respect to Reg D private placements sold to retail investors.
- Breach of Fiduciary Duty— allegations that investor interests were not placed first in evaluating risk and suitability.
- Fraud and Misrepresentation / Omissions of Material Facts— including failure to disclose material risks associated with private offerings.
- Failure to Supervise— supervisory system not reasonably designed to ensure compliance with securities laws, a core requirement under FINRA Rule 3110.
Recover Your Investment Losses Now With Rex Securities Law
Investigations of other Cabin Securities Brokers
If you have suffered investment losses in an account handled by William Brian Candler, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.