Scroll Top

Dock Treece Investigation

Who Is Dock Treece? | Dock Treece Lawsuit

Dock Treece Investigation

The Ohio Department of Commerce has issued an order to Toledo investment adviser, Dock Treece, stating it intends to suspend his securities license and shut down his investment firms.

The department’s division of securities last month notified Dock Treece of Treece Financial Services Corp. and Treece Investment Advisory Corp., that it intends to issue a “cease and desist” order unless Mr. Treece requests a hearing to contest the order.

The order states that, as an adviser selling securities, Mr. Treece has a duty to inquire about the financial needs of clients and whether the securities he sells them meet those needs. The order alleges that the company doesn’t proactively call or meet with clients to discuss their needs other than initial meetings, and nearly all clients’ assets are placed “into the same funds in identical proportions.”

Were You a Victim of Investment Fraud or Broker Misconduct?

If you believe you were a victim of investment fraud or broker misconduct, it is imperative to take action. Peiffer Wolf Carr & Kane has represented thousands of victims, and we remain committed to fighting on behalf of investors.

Contact Peiffer Wolf Carr & Kane today by filling out a Contact Form on our website or by calling 585-310-5140 to schedule a FREE Case Evaluation.

Dock Treece Broker | Dock Treece Broker Lawsuit

According to Dock Treece’s BrokerCheck report, the state of Ohio alleges Mr. Treece did not properly disclose grievances previously filed with FINRA. They also allege that he failed to follow the “know your customer” and “customer identification” requirements while opening new customer and client accounts.

Peiffer Wolf Carr & Kane is currently investigating Dock Treece’s practices, as well as the products he recommended to individual investors. Concerns about possible broker misconduct and investment fraud are serious, and we are committed to fighting on behalf of investors. Contact Us Today for a FREE Consultation585-310-5140

FREE CONSULTATION | 585-310-5140

If you believe you were a victim of predatory lending, investment fraud, or broker misconduct, it is imperative to take action. Peiffer Wolf Carr & Kane has represented thousands of victims, and we remain committed to fighting on behalf of investors. We focus on identifying parties that are not only liable but have the financial ability to compensate victimized investors. Our goal is to put money back into our clients’ pockets.

Contact Peiffer Wolf Carr & Kane today by filling out a Contact Form on our website or by calling 585-310-5140 to schedule a FREE Case Evaluation.

SECURITIES FRAUD IN THE NEWS

A Burt Marshall victim tries a new strategy to recover his money. Will others join him?

Berkshire Bank Sued For Customer’s Alleged $90M Ponzi

DOL Unveils Final Fiduciary Rule for Retirement Accounts

FAQ

Yes. Please call us or use our contact form to request a Free Case Evaluation. We have a national team of attorneys and staff who look forward to speaking with you.

Typically, we represent clients on contingency fee agreements. If we take your case under a contingency fee arrangement, you won’t owe our firm any legal fees unless we are able to recover money for you.

Our contingency fee agreements are usually based on a percentage of the amount we recover for our clients. The contingency fee amount is determined by the type of case, our estimate of how long it will take to resolve your case, and our estimate of the litigation costs we will advance in your case. Each engagement agreement includes the details of the fee arrangement. Questions about our fee agreements are welcomed and encouraged.

In most litigation matters, it is extremely difficult – practically impossible – to predict how long it will take to resolve a particular case. Every case is different, and we will do our best to provide you with an estimate based on your case and our experience with similar cases. Moreover, we will do our best to keep you updated and manage expectations along the way.

DO YOU HAVE ANY QUESTIONS?

We handle cases that change lives. Contact us today for a FREE consultation.

PRACTICE CHAIRS
Attorney Joe Peiffer
JOSEPH C. PEIFFER
Founding Partner
Jason_kane_400x372
JASON J. KANE
Partner