Dennis Nakamura: 3 Customer Complaints
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 17, 2019 indicate that California-based McNally Financial Services Company broker Dennis Nakamura has received customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Nakamura (CRD# 819626).
Dennis Nakamura has spent 43 years in the securities industry and has been registered with McNally Financial Services Corporation in Moraga, California since 2010. Previous registrations include JHS Capital Advisors in Moraga, California (2005-2010); Sterling Financial Investment Group in Boca Raton, Florida (2001-2005); Round Hill Securities in Alamo, California (1994-2001); First Affiliated Securities in La Jolla, California (1990-1994); Smith Barney Harris Upham & Company in New York, New York (1986-1990); Executive Financial Services (1983-1986); Emmett A. Larkin Company (1982-1983); and PML Securities Company (1976-1982). He has passed eight securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 14, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 29, 1985; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on October 17, 1981; Series 1 (Registered Representative Examination), which he obtained on March 11, 1976; Series 53 (Municipal Securities Principal Examination), which he obtained on June 17, 1986; Series 4 (Registered Options Principal Examination), which he obtained on March 10, 1983; and Series 24 (General Securities Principal Examination), which he obtained on October 12, 1982. He is a registered broker with three US states: California, Colorado, and Nevada.
According to his BrokerCheck report, he has received three customer complaints and one denied customer complaint.
In 2001 a customer alleged Dennis Nakamura, while employed at Round Hill Securities, over-charged commissions for various mutual fund transactions. The customer sought unspecified damages in the complaint, which was denied.
In 1999 a customer alleged Dennis Nakamura, while employed at Round Hill Securities, failed in his supervisory duties, breached his fiduciary duty, committed elder abuse, breached the implied covenant of good faith and fair dealing, committed fraud, misrepresented material facts, violated state securities laws, and violated rules of fair practice as well as NYSE rules. The complaint settled for $19,445.
In 1993 a customer alleged Dennis Nakamura, while employed at First Affiliated Securities, recommended unsuitable transactions. The complaint settled in 1994 for $12,000.
In 1985 In 1993 a customer alleged he, while employed at Executive Financial Services, guaranteed a rate of return that was not delivered upon. The complaint settled for $33,000.
If you or someone you know has lost money investing with Dennis Nakamura, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.