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FINRA Broker Allegations

Allegations against: Dennis Phillip Ayre

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Claimants assert claims of unsuitability, negligence, negligent and intentional misrepresentation and omission, fraud, control person liability, respondent superior, breach of fiduciary duties, failure to supervise, failure to warn, violations of california securities laws, violation of finra rules, breach of contract, loss of investment opportunity and rescission, relating to purchase and concentration of foresight energy, lp stock in the accounts. From 3/1/2014 to 9/30/2019.

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