Last Updated: January 2026 — Temecula, CA
Here’s what you need to know about Temecula, CA stockbroker Ken Finnell:
- Name: Kenneth Wayne Finnell
- Current Employer: Not currently registered as a FINRA broker.
- Prior Firms: Investment Adviser Representative and CCO/Member at John P. Dubots Capital Management, LLC (2018-2021,Temecula, CA); Centaurus Financial, Inc. (2012–2018); Newport Coast Securities, Inc. (2009–2012); LPL Financial Corporation (2007–2009); Raymond James Financial Services (2006–2007); Securities America (2002–2006); The Advisors Group (1995–2002); John Hancock entities (1991–1995); Penn Mutual Equity Services (1986–1991).
- CRD number: 1184110.
- Stockbroker / Financial Advisor: Not currently registered as a broker; has passed SIE, Series 7, 6, 22; Series 63 & 65; holds the ChFC designation.
- Can Broker be Sued in FINRA: Yes
- Discloses Outstanding Tax Liens: Yes
- Highest Award or Settlement: $2,000,000
If you’ve sustained damages from Mr. Finnell, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Ken Finnell As Your Stockbroker?
Settled investor claims related to Mr. Finnell’s registered periods at LPL Financial, Newport Coast Securities, and Centaurus Financial:
- Centaurus Financial, Inc. — FINRA Case No. 22-02373
October 2022; claimant alleged unsuitable and unsuccessful investments (real-estate security). Settled June 2024 for $37,500. - Centaurus Financial, Inc. — FINRA Case No. 21-01714
July 2021; customers alleged over-concentration in unsuitable investments (equipment leasing, oil & gas, real-estate securities). Settled December 2023 for $2,000,000. - LPL Financial / Newport Coast Securities — FINRA Case No. 13-01721
July 2013; allegations included breach of contract, poor advice, breach of fiduciary duty, failure to supervise, and California Corporations Code violations (REITs; activity window July 2007–April 2012). Settled January 2015 for $11,000.
Allegations of Broker Misconduct Against Ken Finnell
- Unsuitability / Over-Concentration
- Breach of Fiduciary Duty
- Failure to Supervise
- Fraud / Misrepresentation or Omission of Material Facts
Mr. Finnell reports four outstanding tax liens, including a State of California tax lien ($22,255; filed 12/23/2003) and three IRS liens filed 5/1/2013 ($52,780 and $41,971, Riverside County) and 1/12/2015 ($46,274, Riverside, CA Recorder).
Recover Your Investment Losses Now With Rex Securities Law
Other investigations of Centaurus Financial brokers
Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by Kenneth Wayne Finnell, 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.