May 2016- Ft. Lauderdale, FL
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.
FINRA records are public and can be accessed on the BrokerCheck website.
The FINRA records of Luis Marquez disclose that he has a pending customer dispute. In FINRA Case 15-02669 a customer alleges that while Marquez was employed by Dawson James Securities he invested the account in unsuitable investments and caused losses of $340,000. The investments involved are common and preferred stocks and private placements.
Luis Marquez has been registered with Laidlaw & Company since 1/2013.. He was previously registered with Dawson James Securities from 9/2006-2/2013.
If you have losses in an account handled by Luis Marquez , and believe that your account was mishandled, call to discuss your 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.
Florida-561 391 1900