Last Updated: October 2023 (Gulf Breeze, FL)
Kent Herring Investigation Summary
Here’s what you need to know about Gulf Breeze, FL, stockbroker Kent Herring:
- Name: Mr. Kent Reaves Herring
- Current Employer: Cambridge Investment Research, Cambridge Investment Research Advisors (RIA) dba Herring Hooks Insurance and Financial Advisors
- Previous Firms: Voya Financial Advisors, ING Financial Partners
- Function: Stock Broker/ Financial Advisor/Registered Investment Advisor
- Aliases: Kent Herring
- Primary Location: Gulf Breeze, FL
- CRD 5417262
- Can Kent Herring be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $750,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Kent Herring As Your Stockbroker?
A customer of Voya Financial Advisors filed a FINRA arbitration in 2/2023 alleging that Kent Herring recommended an unsuitable investment strategy that included illiquid and complex insurance products. The customer is seeking damages of $750,000 in this currently pending matter.
Allegations of Broker Misconduct Against Kent Herring
A customer of Kent Herring has alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in unsuitable and illiquid complex insurance products.
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 Kent Herring, contact us for a complimentary consultation with an experience 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.
