Victim of Financial Fraud? Call Now
Home » Broker Blog » Dennis Riordan Suspended by FINRA for Allegedly Failing to Respond to Request for Information

Dennis Riordan Suspended by FINRA for Allegedly Failing to Respond to Request for Information

Dennis Riordan (CRD #: 2412563), a broker registered with Wynston Hill Capital, was recently suspended for allegedly failing to respond to FINRA requests for information, according to his BrokerCheck Record accessed on March 12, 2022. Dennis Riordan’s alleged conduct is a violation of FINRA Rule 8210.

FINRA Rule 8210 requires members to provide information under oath, if requested, regarding any matter that pertains to an investigation, complaint, examination, or proceeding. A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires member firms and their associated persons to “observe high standards of commercial honor and just and equitable principles of trade.”

FINRA Sanctions

Dennis Riordan was suspended on December 3, 2022. Failure to request termination of suspension would result in a bar on February 14, 2022. 

Background Information

Dennis Riordan has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

He is a registered broker in four states.

Besides Wynston Hill Capital, Dennis Riordan has also worked with the following firms:

  • Aeon Capital (CRD#:164004)
  • Rothschild Lieberman (CRD#:10030)
  • Corinthian Partners (CRD#:38912)
  • Portfolio Advisors Alliance  (CRD#:101680)
  • John Thomas Financial (CRD#:40982)
  • J.P. Turner & Company (CRD#:43177)
  • Joseph Gunnar & Co. (CRD#:24795)
  • S.W. Bach & Company (CRD#:43522)
  • E1 Asset Management (CRD#:46872)

Kurta Law Can Help 

If you have been victimized by Dennis Riordan as a broker, don’t hesitate to get in touch with us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.

Recent Results

$16.75M

Million

Recovery for ARC NYC REIT Investors
Learn More
Kurta Law recovered millions of dollars for investors who purchased the speculative and unsuitable ARC NYC REIT. The arbitration settled for substantially more than the investor losses.

Recent Results

$9.3M

Million

Investors Receive Award for More than their Losses
Learn More
Jonathan Kurta was able to recover over $9.3 million for a group of defrauded investors. The claims were based upon the brokerage firm’s failure to supervise a stockbroker who stole client funds and then prepared and disseminated fake account statements for decades.

Recent Results

$7.1M

Million

Elderly Victims Recover After a Decade of Fraud
Learn More
Jonathan Kurta represented a group of elderly women who were the victims of a financial crime perpetrated by a rogue broker. The broker utilized forged documents to steal funds from the clients’ accounts over a decade.

Recent Results

$4.2M

Million

Investor vs. Royal Alliance
Learn More
Jonathan Kurta represented an investor who alleged that Royal Alliance Associates had not fulfilled their supervisory duties. This allegedly allowed brokers to engage in conversion and RICO violations. Read a copy of the award here.

Recent Results

$1M

Million

Utah Firm Executed Unnecessary Transaction
Learn More
A FINRA panel sided with Kurta Law and found that a Utah brokerage firm executed unnecessary transactions in order to generate more commissions. Read a copy of the award here.

Recent Results

$2M

Million

Arizona Investors Options Trading Scam
Learn More
Kurta Law negotiated a $2 million settlement on behalf of Arizona investors who were defrauded in an options trading scam.

Categories