August 2016- Ronkonkoma, NY
The FINRA records of Joseph F. Comiskey, Jr. , a stock broker who is currently employed by K. C. Ward Financial disclose a currently pending customer dispute, 2 prior customer disputes, and 10 currently outstanding judgement/liens.
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 currently pending FINRA Case#15-3359 , a customer of K.C. Ward Financial alleges damages of $450,000 for speculative trading.
Comiskey discloses 10 currently outstanding tax liens in favor of the Internal Revenue Service and the State of New York.
Comiskey has been employed by K.C. Ward Financial since 2/2008. Prior to that he was employed by J.P. Turner from 1/2005-4/2008.
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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