July 2016-Florham Park, NJ
The FINRA records of James B. Moran , a stock broker currently employed by Capitol Securities Management , disclose a prior regulatory event, a pending customer dispute, 3 prior final customer disputes and a termination.
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 the currently pending matter, in May 2016 a customer of Capitol Securities Management alleged damages of $167,640 for unsuitable transactions in mutual funds and oil and gas investments.
Moran has been employed by Capitol Securities Management since 7/2007.
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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