May 2016- Staten Island
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.
According to FINRA records, Joseph R. Connolly discloses a pending customer dispute brought in 2/2016 by a customer while Connolly was registered with Alexander Capital that alleges damages of $660,000 for unsuitable and excessive trading and excessive commissions.
According to FINRA records, Connolly is not currently registered. He was registered with Alexander Capital from 12/2015-4/2016 and prior to that with First Standard Financial from 8/2015-10/2015, with Joseph Stone Capital from 5/2014-9/2015 , Alexander Capital from 2/2013-5/2014 and with Aegis Capital from 10/2012-12/2012.
If you have losses in an account handled by Joseph R. Connolly contact us to learn how you may be able to recover damages through FINRA arbitration.
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