Tidwell has been named in two customer disputes alleging misconduct.
The Sonn Law Group is investigating allegations that Dwayne Tidwell committed misconduct. If you or a family member has suffered losses investing, we want to discuss your case. Please contact us today for a free review of your case.
Dwayne Mark Tidwell (CRD#:2612587) is currently an investment advisor with Grand Parkway Capital, where he has been employed since 2013. Previously, he was employed by Sunbelt Securities as a broker and investment advisor from 2009 until 2013. Prior to that, he was a registered broker with IMS Securities, who has since been expelled by FINRA.
Tidwell has two other disclosures on his BrokerCheck report.
April 2008 Customer Dispute
- Status: Settled
- Allegations: “Client felt that Mr. Tidwell misrepresented the liquidity and risk of the closed end funds he purchased.”
- Damage Amount Requested: $100,000.00
- Settlement Amount: $100,000.00
- Broker Comment: “I have no knowledge of the complaint or settlement. I have asked Stanford to provide this information so I can address and respond accordingly.”
August 2004 Customer Dispute
- Status: Settled
- Allegations: “The claimant alleges the FA made unsuitable investments by over-concentrating his account in equities. The claimant also alleges the FA churned his account.”
- Damage Amount Requested: $175,000.00
- Settlement Amount: $39,000.00
- Broker Comment: “Claimant, customer commenced NASD dispute resolution case no. 04-05619 against Merrill Lynch, Pierce, Fenner & Smith Inc. and Dwayne Mark Tidwell, asserting claims of unsuitability and churning. Claimant alleges damages of $175,000.00. All claims were dismissed with prejudice with no broker contribution made, required or requested by Merrill Lynch. The case settled for $39,000.00 to avoid the anticipated expense and uncertainty of a lengthy arbitration.”
Contact Us Today
The Sonn Law Group is currently investigating allegations that Dwayne Mark Tidwell committed misconduct. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.