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Keith Offel: Stonehaven Financial Advisor Lands $70K Complaint
Placentia, California and Navarre, Florida financial advisor Keith Offel (CRD# 2570946) allegedly recommended an unsuitable investment, according to a recent investor complaint that was denied. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as Stonehaven Financial Group.
Mr. Offel’s BrokerCheck report discloses one recent investor complaint. Filed in September 2023, it alleged that as a representative of Cambridge Investment Research, he failed to follow the stated objectives of a customer who requested conservative investment goals, “resulting in significant loss.” The complaint alleged damages of $70,224 and was denied. For reference, the denial of an investor complaint does not necessarily mean the underlying allegations were groundless, rather that the firm made such a determination after performing its own review of the claim. Investors whose complaints are denied can still pursue recourse through other avenues, like FINRA arbitration claims.
As his profile on the website for Stonehaven Financial Group states, Mr. Offel has been in the financial services industry for almost 30 years. “Stonehaven Financial Group is a leading financial services firm in Orange County, specializing in helping clients preserve their wealth so they can enjoy a secure retirement,” the website states. “In addition to our strategies, solutions, and advice, we are committed to being our clients most trusted advisor.”
According to the Financial Industry Regulatory Authority, Keith Offel holds 28 years of securities industry experience. Based in Placentia, California and Navarre, Florida, he has been a broker and an investment advisor with Cambridge Investment Research since 2011, doing business as Stonehaven Financial Group. His past registrations include Newport Advisory (Newport Beach, California; 2011) and Money Concepts Capital Corporation (Fullerton, California; 1995-2011). His credentials include the passage of seven securities industry qualifying exams: the Investment Company Products/Variable Contracts Principal Examination, or Series 26; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Corporate Securities Limited Representative Examination, or Series 62; the Direct Participation Programs Representative Examination, or Series 22; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Arizona, Arkansas, California, Colorado, Florida, Hawaii, Idaho, Indiana, Nevada, New Mexico, New York, North Carolina, Oklahoma, Oregon, South Carolina, Texas, and Virginia. (Information current as of October 15, 2023.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.