Last Updated: January 2024 (Tampa, Florida)
Donald Gunn Investigation Summary
Here’s what you need to know about Tampa, FL, stockbroker Donald Gunn:
- Name: Mr. Donald James Gunn, Jr.
- Current Employer: International Assets Advisory, International Assets Investment Management (RIA)
- DBA: Rockport Global LLC
- Previous Firms: Anderson & Strudwick, J.P. Turner & Co.
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Donald Gunn
- Primary Location: Tampa, FL
- CRD 1442917
- Can Donald Gunn be sued in FINRA arbitration: Yes
- Sanctioned by Securities Regulator: Yes
- Discloses Bankruptcy Filing: Yes
- Highest Settlement or Award: $150,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Donald Gunn As Your Stockbroker?
Donald Gunn discloses 6 customer disputes that were settled with cash payments, including:
- In 2022 a customer of International Assets Advisory (IAA) was paid $150,000 to resolve allegations that Donald Gunn was negligent and violated the Florida Securities and Investor Protection Act in connection with a recommendation to invest in GPB Holdings products
- In 2015 another customer of IAA was paid $52,500 to resolve allegations that Donald Gunn recommended excessive and unnecessary concentrated positions in volatile penny stocks with no downside protection.
Donald Gunn discloses the filing of Chapter 13 Bankruptcy in United States Bankruptcy Court for the Middle District of Florida in 6/2023.
In 1996 the State of Florida, Department of Banking and Finance sanctioned Gunn for violations of Chapter 517, Florida Statutes.
Allegations of Broker Misconduct Against Donald Gunn
Customers of Donald Gunn have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in GPB Holdings
- Excessive positions in volatile penny stocks
- Misrepresentations
- Violations of Florida Statutes 517, The Securities and Investor Protection Act
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.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Donald Gunn, 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.
