July 2016- Boynton Beach, Florida
The FINRA records of Pamela Posey , a stock broker who formerly worked for Securities America, disclose a pending financial event and 3 outstanding judgements/liens
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Posey discloses the filing of a chapter 13 bankruptcy petition In the US Bankruptcy Court for the Southern District of Florida in October 2013. According to FINRA records the matter is still pending.
Posey also discloses 3 outstanding judgements/liens to Chateaux Fall Creek,LLC.
Posey was employed by Securities America from since 8/2014-5/2016. Prior to that she was employed by Pruco Securities.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
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