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.
According to FINRA records, Bryan G. Mazliach is not currently registered. He was previously registered with Westpark Capital from 8/2017-12/2018. Laidlaw & Company from 1/2015-9/2017. Prior to that he was registered with Rockwell Global Capital from 12/2010-1/2015.
FINRA records disclose two prior customer disputes :
- FINRA Case 16-00291-a customer of Mazliach, while he was employed by Laidlaw & Company, alleged excessive trading and commissions resulting in damages of $200,000. That case was settled for $32,145.
- FINRA Case 18-1736- a customer of Mazliach, while he was employed by Laidlaw & Co., alleged churning, suitability and unauthorized trading . That case was settled for $7,500.
If you have losses in an account handled by Bryan G. Mazliach contact us 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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