Last Updated: September 2023 (Deland, FLA)
Alex Maltez Investigation Summary
Here’s what you need to know about Deland, FLA, stockbroker Alexandre Maltez:
- Name: Mr. Alexandre Maltez
- Current Employer: Merrill Lynch Pierce Fenner & Smith
- Previous Firms: Newbridge Securities Corp., Newbridge Financial Services, Corecap Investments
- Function: Stock Broker/ Financial Advisor
- Aliases: Alex J. Maltez, Alexandre Jesus Maltez, Alex Maltez, Alexandre J. Maltez
- Primary Location: Deland, FLA
- CRD 6506116
- Can Alex Maltez be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Unspecified Amount of Damages
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Alex Maltez As Your Stockbroker?
In 7/2022 a customer of Newbridge Securities filed a FINRA arbitration alleging that Alex Maltez made an unsuitable recommendation to invest in alternative investments, committed fraud and violated FINRA Rule 2210. No specific damage amount is alleged.
Allegations of Broker Misconduct Against Alex Maltez
A customer of Alex Maltez has alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation
- Violation of FINRA Rule 2210
- Fraud
- Breach of Fiduciary Duty
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.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Alex Maltez, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
