Dennis Hennessy Was Terminated From His Former Employer Following Alleged Rule Violations

dennis hennessy

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2018 indicate that Iowa-based Client One Securities broker/adviser Dennis Hennessy was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hennessy (CRD# 1088298).

Dennis Hennessy has spent 35 years in the securities industry and has been registered with Mutual Securities in Clayton, Missouri since December 2017. Previous registrations include First Heartland Capital in Clayton, Missouri (1994-2017); WS Griffith & Company (1986-1999); WS Griffith & Company in Hartford, Connecticut (1984-1999); Home Life Insurance Company (1986-1992); Sentra Securities Corporation (1984-1986); and Home Life Equity Sales Corporation (1983-1984). He has passed five securities industry examination: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 12, 2018; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 23, 1983; Series 7 (General Securities Representative Examination), which he obtained on July 21, 1984; Series 22 (Direct Participation Programs Representative Examination), which he obtained on December 15, 1983; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 5, 1983. He is a registered broker and investment adviser with eight US states: Arizona, Arkansas, California, Florida, Missouri, South Carolina, Texas, and West Virginia.

According to his BrokerCheck report, he was discharged from his former employer in connection to alleged rule violations.

In December 2017 he was terminated from his positions at First Heartland Capital and First Heartland Consultants in connection to allegations he failed to follow firm policy while under a heightened supervision plan imposed as the result of an alleged failure to supervise his administrative assistant’s completion and submission of certain client documents.

If you or someone you know has lost money investing with Dennis Hennessy, 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.

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