Last Updated: February 2024 (San Diego, CA)
Frank Kuiper Investigation Summary
Here’s what you need to know about San Diego, CA, stockbroker Frank Kuiper:
- Name: Mr. Frank Timothy Kuiper
- Current Employer: Concorde Investment Services
- DBA: Financial Designs Ltd.(RIA)
- Previous Firms: Independent Financial Group
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Frank Kuiper
- Primary Location: San Diego, CA
- CRD 1774282
- Can Frank Kuiper be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of Between $1 Million – $5 Million
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Frank Kuiper As Your Stockbroker?
In 2023 a customer of Concorde Investment Services filed a FINRA arbitration alleging that Frank Kuiper violated California law and breached his fiduciary duty when he recommended investments in limited partnerships and direct investments. Damages ranging between $1 million and $5 million are sought in this pending matter.
Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090). Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
Allegations of Broker Misconduct Against Frank Kuiper
A customer of Frank Kuiper has alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation
- Violation of California Common Law Fraud
- Breach of Fiduciary Duty
- Negligence
- Negligent Failure to Supervise Alleged vs. Concorde Investment Services
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
» Other Investigations of Concorde Investment Services Brokers
If you have suffered investment losses in an account handled by Frank Kuiper , 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.
