The Woodlands, Texas
MAY 2017 UPDATE-In September 2016, the customer who filed FINRA arbitration 15-0049, see below, was paid $420,000 to settle the matter.
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 pending FINRA Case 15-0049 a customer alleges damages of $2,500,000 for poor recommendations and poor advice in connection with the purchase of asset-backed security.
Williams has been employed by VFinance since 1/2002
If you have questions about an account handled by Douglas J. Williams, 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.
Florida-561 391 1900