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.
Wirth’s FINRA record indicates that in May 2015 he was discharged by SWS Financial Services (now known as Hilltop Securities) where he had been employed since 1997. Allegations listed on his FINRA record:
“Registered representative accepted a blank signed form to accommodate a client’s request in violation of the firm’s written supervisory procedures.”
Wirth has been employed by Cambridge Investment Research since July 2015.
If you have questions about an account handled by Craig R. Wirth, call for a no charge consultation.
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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