Last Updated: November 2023 (La Jolla, CA )
Stephen Haskell Investigation Summary
Here’s what you need to know about La Jolla, CA, stockbroker Stephen Haskell:
- Name: Mr. Stephen Paul Haskell
- Current Employer: FNEX Capital LLC
- DBA: Kay Properties and Investments , Cove Capital Investments , Haskell Ventures
- Previous Firms: Growth Capital Services, Wealthforge Securities
- Function: Stock Broker/ Financial Advisor
- Aliases: Stephen Haskell
- Primary Location: La Jolla, CA
- CRD 6864948
- Can Stephen Haskell be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $250,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Stephen Haskell As Your Stockbroker?
A customer of Wealthforge Securities filed a FINRA arbitration in 11/2023 alleging that Stephen Haskell caused damages of $250,000 related to the recommendation to invest in private placements. This matter is currently pending.
Kay Properties, a dba for FNEX Capital ( kpi1031.com ), “provides access to the marketplace of typically 20-40 DSTs from over 25 different sponsor companies” according to their website.
What is a Delaware Statutory Trust (DST) ?
Allegations of Broker Misconduct Against Stephen Haskell
A customer of Stephen Haskell has alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in private placements
- Failure to conduct reasonable due diligence
- Failure to make reasonable disclosures
- Misrepresentations and omissions
- Breach of Fiduciary Duty
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 Stephen Haskell, 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.