Mick Owens Named as a Control Person in an Investor Dispute
Mick Owens (CRD #:1437001), a broker registered with CFD Investments, was named as a control person in an investor dispute, according to his BrokerCheck record, accessed April 12, 2022. He is also an investment advisor registered with Creative Financial Designs.
Investor Allegations
On February 1, 2022, Mick Owens was named as a control person in an investor dispute filed against Dana Vietor, a formerly registered representative at Mick Owens’s member firm.
According to the allegations, Dana Vietor allegedly engaged in the sale of private investments in companies he had ownership or control of, and in the process, he allegedly engaged in a breach of fiduciary duty, violation of FINRA suitability rules, and fraud.
The investor is seeking $345,000ーthe case is still pending.
Failure to Supervise
FINRA Rule 3110 requires firms to:
- Maintain a supervisory system reasonably designed to achieve compliance with FINRA rules.
- Designate a registered principal whose job is to carry out supervisory responsibilities.
- Make reasonable efforts to determine that all supervisory personnel are qualified, either by experience or training.
Background Information
Mick Owens has passed the following exams:
- Series 65 – Uniform Investment Adviser Law Examination
- 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
Mick Owens is a registered broker in 34 states, he is also a registered investment advisor in 26 states.
Besides CFD Investments and Creative Financial Designs, Mick Owens has also worked with Mariner Financial Services (CRD#:8292) and Berachah Securities Corporation (CRD#:16228).
Kurta Law Can Help
If you have worked with Mick Owens and have concerns about your investments, don’t hesitate to contact 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.