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

Mar 17, 2022 Barred Broker

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.