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Investor Claims Timothy Flynn Unsuitable Investment Recommendations led to Losses

Dec 31, 2021 Investor Disputes

Timothy Flynn (CRD #3247096), a broker formerly registered with Trident Partners, is involved in an unsuitability dispute according to his BrokerCheck record, accessed on December 10, 2021.  

According to the allegations filed on October 6, 2021, Timothy Flynn recommended an unsuitable investment. The damage amount requested is $200,000 — the case is still pending.  

What is Unsuitability? 

"Unsuitability" is a term used to describe inappropriate recommendations and trades that are inconsistent with the customer's goals and investment profile. 

FINRA Rule 2111 states that a broker must consider their investor’s profile before they recommend investments. A customer's investment profile consists of a wide range of individual characteristics, including the customer's: 

  • Age 
  • Financial situation and needs 
  • Tax status 
  • Investment objectives 
  • Investment experience 
  • Risk tolerance 

Brokers should take into account any goals their investor has expressed before making recommendations and make note if those preferences change over time. If an investor suffers financial losses because of an unsuitable recommendation, the broker's firm may be liable for such losses. 

If you've lost money due to a financial advisor's bad recommendations, do not hesitate to contact an experienced securities attorney as soon as possible. Kurta Law is a nationally recognized securities law firm with over 20 years of experience handling securities fraud cases. 

Tax Liens  

Timothy Flynn has been the subject of two tax liens that total $41,762.05.   

Background Information 

Timothy Flynn has passed the following exams: 

  • Series 63 - Uniform Securities Agent State Law Examination 
  • SIE - Securities Industry Essentials Examination 
  • Series 7 - General Securities Representative Examination 

Timothy Flynn has also worked with the following firms: 

  • First Montauk Securities Corp (CRD#:13755) 
  • Trident Partners LTD. (CRD #: 41258) 

Kurta Law Can Help 

If you have worked with Timothy Flynn 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.