Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has opened an active investigation into Derrick Allen Brauner (CRD #6082847), currently registered with Ausdal Financial Partners, Inc. in Missouri. Investors who worked with Mr. Brauner, including those who purchased securities through Moloney Securities Asset Management LLC, Moloney Securities Co., Inc., and Smith Moore & Co., may be impacted by recent allegations. As former Wall Street defense attorneys now fighting for investors, our attorneys rely on years of insider knowledge to diligently pursue losses and hold firms accountable where misconduct is suspected.
Your financial future deserves protection, transparency, and aggressive advocacy. If you entrusted your savings to Derrick Brauner and worry about your investments, our team will help you understand the risk indicators and pursue a potential recovery. Our 98% success rate, 95+ years of combined securities law experience, involvement in more than $520 million in securities cases, Top 2% peer-reviewed credentials, Super Lawyers recognition, and stellar 5.0-star client reviews stand as proof of our dedication to investor recovery. No recovery, no fee.
Red Flags: Allegations Against Derrick Allen Brauner (Ausdal Financial Partners, Inc., Missouri)
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On July 9, 2026, we reviewed the FINRA BrokerCheck report for Derrick Allen Brauner. There are two significant customer dispute disclosures that may affect investors:
| Date Filed | Nature of Allegation | Status | Claimed Damages | Key Details |
|---|---|---|---|---|
| May 8, 2026 |
|
Pending in FINRA arbitration | $400,000 |
|
| August 20, 2024 |
|
Settled (February 5, 2025) | $14,999 (settlement) |
|
Both disputes reflect claims of unsuitable investments and allege improper handling of customer accounts. While not every complaint results in a finding against a broker, multiple similar allegations should always be taken seriously by investors. Our experience as former defense attorneys gives us a unique perspective in identifying and building strong claims on behalf of wronged investors.
Key Regulatory Standards: FINRA Rule 2111 and FINRA Rule 2010
- FINRA Rule 2111 (Suitability): Brokers must recommend investments that fit the client’s objectives, risk tolerance, and profile. Unsuitable recommendations, such as illiquid alternatives and inappropriate corporate debt, can expose investors to losses and may constitute regulatory violations.
- FINRA Rule 2010: Requires firms and brokers to adhere to high standards of commercial honor and fair trading. Misrepresentation, omission, or unfair sales practices breach these principles.
Both rules serve as a foundation for investor protection. When violated, these rules may give rise to legal claims, potentially enabling recovery for lost funds. Our attorneys help investors navigate these regulations and actively advocate to recover losses resulting from misconduct or negligence.
Regulation Best Interest (Reg BI): What It Means for Investors
Regulation Best Interest (Reg BI) is a key federal standard for brokers making recommendations to retail investors. It requires that your best interest comes first, a higher standard than prior suitability rules. Brokers and firms must:
- Disclose: Any material facts, fees, conflicts, and scope of their relationship and recommendations
- Provide Quality Care: Use skill, diligence, and consider alternatives, costs, and risks in recommendations
- Mitigate Conflicts: Identify, disclose, and reduce conflicts of interest
- Comply: Maintain up-to-date, effective policies and procedures
Allegations against Derrick Brauner, including unsuitable investments, misrepresentation, and deficiencies in care, raise transparency and compliance concerns under Reg BI. If your financial advisor breached these obligations, you may have a right to pursue recovery.
Additional Background: Derrick Allen Brauner’s Registration and History
- Currently registered with Ausdal Financial Partners, Inc. in Missouri
- Licenses include Securities Industry Essentials (SIE), Series 7, and Series 66
- Previously worked for Moloney Securities Asset Management LLC, Moloney Securities Co., Inc., and Smith Moore & Co.
- No current record of formal SEC enforcement actions, cease-and-desist orders, or regulatory sanctions
Our attorneys keep diligent track of regulatory updates. As of today, there are no reported class actions or new regulatory investigations. However, open and past client disputes, particularly regarding suitability and risk, can have lasting implications for investors. Setting up a free BrokerCheck alert may help you monitor future developments on Derrick Brauner’s record.
Why Investors Should Take Action
- If you invested with Derrick Brauner in Missouri or through any of his firms, and you suffered losses, you may be eligible for recovery.
- Red flags, such as recommending illiquid alternative investments, failing to account for your risk profile, or omitting risks, could reflect broader firm oversight failures.
- Our unique advantage as former defense attorneys provides critical insight to assess, investigate, and pursue your case from every angle.
- Your financial future may depend on moving quickly to identify, quantify, and pursue losses caused by unsuitability or negligence.
How We Help Investors Recover Losses
- Free, confidential case review with a securities attorney, with no obligation
- We leverage our 98% success rate and insider knowledge of Wall Street practices to aggressively pursue your recovery
- All cases handled on a no recovery, no fee basis
- We advocate nationwide in FINRA arbitration and related disputes
Contact Us for a Free Consultation
If you have questions or concerns about your experiences with Derrick Allen Brauner (CRD #6082847) at Ausdal Financial Partners, Inc. in Missouri, do not wait. Our team stands ready to help you recover losses and hold your advisor accountable. Call us today at 1-888-885-7162 or complete a confidential inquiry. Our attorneys will review your case personally and explain your legal options every step of the way.
Your trust, your investments, your recovery. Let our experience as former Wall Street defense lawyers work for you.
