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 FINRA Case 16-0818, a customer while Thomas was employed by Investors Capital Corp. alleges damages of $110,000 for unsuitable investments in real estate securities.
Thomas has been registered with Calton & Assoc since 8/2013. His previous employments include Cabot Lodge Securities, Brookstone Securities, J.W. Cole Financial and Investors Capital Corp.
If you have questions about a brokerage account handled by Edgar A. Thomas , call to discuss your legal options.
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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