July 2016-Melville, New York
The FINRA records of Bruce A. Stark , a stock broker currently employed by Aegis Capital Corp. , disclose 2 pending customer disputes, a prior final customer dispute and 1 currently outstanding judgment/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.
In one of the currently pending disputes, FINRA Case# 15-1478 , a customer of Stark’s former employer Obsidian Financial Group alleges damages of $534,1508 for churning, excessive trading, unauthorized trading and unsuitable investments.
Stark discloses a notice of levy from the Internal Revenue Service in the amount of $37,875, for the tax period ended 12/31/2006.
Stark has been employed by Aegis Capital Corp. since 11/2012. Prior to that he was employed by Obsidian Financial Group (expelled by FINRA 10/2013) and before that EKN Financial Services (expelled by FINRA 10/2012.
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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