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Tony Keena: Oil & Gas Complaint Against Keena Wealth Advisor
Winter Park, Florida financial advisor Tony Keena (CRD# 5416008) has received an investor complaint over an oil and gas investment. Financial Industry Regulatory Authority records show that he is a representative of Keena Wealth, offering securities and advisory services through Lincoln Financial Securities Corporation.
Mr. Keena’s BrokerCheck report discloses one investor complaint against him. Filed in April 2022, it alleges that as a representative of Lincoln Financial Securities Corporation, he recommended an unsuitable oil and gas product. The pending complaint alleges unspecified damages believed to exceed $5,000.
In a statement on the pending complaint’s disclosure, Mr. Keena denied the allegations, describing the complaint as an “opportunistic” attorney’s pursuit of a “deep pocket” in the form of his broker-dealer. “I am not named in the lawsuit and believe my client was incorrectly told that this allegation would not impact me,” he added, continuing: “This offering was for accredited investors only and the documents client executed disclosed all of the risks, including the risk of volatility in the oil markets. I understand that when an investment does not perform as desired or as one would hope, it can be disappointing. However, that does not mean the sale was inappropriate or unsuitable.” Asserting that he has never “engaged in inappropriate or aggressive sales practices,” he said he will seek to have the “false allegation” removed from his record.
According to the Financial Industry Regulatory Authority, Tony Keena holds 21 years of securities industry experience. Based in Winter Park, Florida, he is a broker and investment advisor with Keena Wealth, which offers securities and advisory services through Lincoln Financial Securities Corporation. He has been registered with Lincoln Financial Securities since 2014. His past registrations include Ameritas Investment Corp. (Altamonte Springs, Florida; 2004-2014), Estate and Business Planning Group (Altamonte Springs, Florida; 2007-2008, 2010-2014), and Woodbury Financial Services (Oakdale, Minnesota; 2001-2004). His credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; 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 Florida, North Carolina, Pennsylvania, South Carolina, Virginia, and Wisconsin. (Information current as of July 29, 2022.)
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