April 2017- Lincoln, NE
The FINRA records of Roger Zajicek (CRD#862710) a stockbroker with Investors Capital Corp., discloses one pending and four prior final customer disputes.
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 FINRA arbitration 15-01801, a customer of Investors Capital Corp., who had a $700,000 negative margin balance alleged damages related to option trading. In July 2016 the case was settled for $317,500.
In currently pending FINRA case 15-02295 a customer of Investors Capital alleges damages in an unstated amount for churning and unsuitability in equities, direct investments and limited partnerships.
Zajicek was employed by Investors Capital from 10/2005-9/2016. He lists a business affiliation with Midwest Wealth Advisors in Lincoln, NE . Zajicek is not currently registered.
If you have questions about an account handled by Roger Zajicek, call to learn about your options.
INVESTORS CAPITAL CORP. SUBJECT OF 21 REGULATORY MATTERS–CEASES OPERATIONS FALL 2016
Investors Capital Corp. withdrew its registration with FINRA in fall 2016. Investors Capital has been named in 21 regulatory matters and a number of customer arbitrations. For more information on Investors Capital Corp, follow this link.
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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