Anthony Bookman Investigation
July 2022-Dallas, TX
According to publicly available records Anthony Rashad Bookman, a former broker who last worked for Pickwick Capital Partners & Seaport Global Securities, discloses a final regulatory matter resulting in a permanent bar from the industry.
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.
In 9/2021, Bookman was barred from the securities industry in all capacities as sanctions for failing to respond to FINRA requests for information in connection with a regulatory investigation.
In 12/2020, Tennessee securities regulators alleged that Bookman failed to disclose that he was the subject of a cease and desist order by Colorado regulators in 2008.
Bookman was employed with Seaport Global Securities since 9/2020 until he was recently barred from FINRA. Before that time he was with Pickwick Capital Partners, Alondra Capital and TOR Brokerage. Bookman discloses a business affiliation with Carbonado Partners.
If you have questions about an account handled by Anthony Bookman contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
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.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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