July 30, 2015
Malcolm Jamal Babin of Baton Rouge, LA , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide documents and information to FINRA in connection with an investigation into allegations that Babin converted non-Firm customer funds and engaged in undisclosed outside business activities.
Babin was barred from the securities industry. According to FINRA records he was registered with PFS Investments , Inc. from 9/2015-5/2015.
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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