May 2017- Flagstaff, AZ
The FINRA records of John Kolody, Jr. , a stockbroker who is currently employed by Securities America disclose a pending customer dispute .
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 FINRA arbitration 16-02845 a customer of Foothill Securities alleges damages of $1.2 million for failure to supervise , breach of fiduciary duty and recommendation of unsuitable investments.
Kolody has been employed by Securities America since 12/2016. He was employed by Foothill Securities from 12/2003-12/2016.
If you have questions about an account handled by John Kolody Jr. 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