DID CAZ CRAFFY CAUSE YOU INVESTMENT LOSSES?
Caz Craffy Formerly With Monmouth Capital Management LLC Has 2 Customer Complaints For Alleged Broker Misconduct
About Caz Craffy formerly with Monmouth Capital Management LLC?
Caz Craffy (CRD #5222223) has a history in the securities industry, previously registered with firms like Monmouth Capital Management LLC, Newbridge Securities Corporation, and National Securities Corporation, among others. He is not currently registered. His career has seen registrations across multiple firms from 2011 to 2022, spanning cities from Brooklyn, New York to Point Pleasant Beach, New Jersey. Craffy has passed two general industry/product exams and one multi-state securities law exam, reflecting his qualified status in the securities field during his active years.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Caz Craffy Customer Complaints and Reviews
Caz Craffy’s career has been marked by several disclosure events, including regulatory actions, customer disputes, a civil event, an investigation, and a termination:
- Regulatory Events (2): Final sanctions include revocation and a permanent bar from association with any FINRA member due to non-compliance with regulatory demands.
- Customer Disputes (2): These include one resolved without action and another currently pending, involving allegations of negligence and common law fraud with potential damages exceeding $100,000.
- Civil Event (1): Currently pending, involving serious allegations of fraud and misappropriation impacting Gold Star families, with significant monetary damages cited.
- Investigation (1): Ongoing, related to undisclosed outside business activities.
- Termination (1): Occurred due to failure to disclose outside business activities, leading to his discharge from a firm.
Allegations Against Caz Craffy
The various allegations against Caz Craffy involve significant and serious charges that reflect on his professional conduct and integrity:
- Regulatory Allegations: Include failure to comply with FINRA’s requests for information and documentation, leading to his permanent bar from the securities industry.
- Civil Allegations: Accused of exploiting vulnerable clients, leading to massive financial losses due to unauthorized and excessive trading.
- Customer Dispute Allegations: Include claims of negligence, breach of fiduciary duty, and fraud, highlighting issues with the management of client accounts and adherence to ethical standards.
- Investigative Allegations: Related to non-disclosure of outside business activities, questioning the transparency and honesty in his professional dealings.
Caz Craffy Red Flags & Your Rights As An Investor
Of course, Caz Craffy did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Caz Craffy at Monmouth Capital Management LLCon alert to review carefully the activity and performance of their accounts and question whether Caz Craffy has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Monmouth Capital Management LLCalso raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Monmouth Capital Management LLC Due To Caz Craffy
If you have questions about Monmouth Capital Management LLC and/or Caz Craffy and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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