Greenwood Village, Colorado
According to FINRA records, Brooke A. Clements, a broker who has been registered with FIrst Financial Equity Corp, since 7/2015 , discloses that he was discharged from Merrill Lynch in 5/2015.
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.
Prior to joining First Financial Equity Corp. , Clements was registered with Merrill Lynch since 3/2007. In connection with his discharge from Merrill Lynch in 5/2015, Merrill made the following allegations:
“allegations relating to providing user identification and password to another employee and exercising time and price discretion in non-discretionary accounts”
If you have losses in an account handled by Brooke A. Clements 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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