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Tony Keena Allegedly Recommended Unsuitable Oil and Gas Investment

Tony Keena (CRD #: 3014120), a broker registered with Lincoln Financial Securities, is the subject of a pending dispute, according to his BrokerCheck record, accessed on July 16, 2022. Read on if you want to know more about Tony Keena’s conduct as a broker.

Investor Dispute

On April 29, 2022, an investor alleged Tony Keena gave an unsuitable recommendation of an oil and gas investment. This dispute is currently pending.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to take into account investors’ financial goals when recommending investments. Brokers must use information in an investor’s profile, such as their risk tolerance, age, and tax status when making recommendations.

Investors who feel their losses were caused by unsuitable investment recommendations may be able to recoup their losses through FINRA arbitration.

Background Information

Tony Keena 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 6 – Investment Company Products/Variable Contracts Representative Examination

Tony Keena is a registered broker in six states and a registered investment adviser in Florida.

He has also worked for the following firms:

  • Ameritas Investment Corporation (CRD#:14869)
  • Estate and Business Planning Group (CRD#:141558)
  • Woodbury Financial Services (CRD#:421)

Kurta Law Can Help

If you worked with Tony Keena and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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.