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, Shahbul A. Molla , has been registered with Spartan Capital Securities since 1/2010.
FINRA records disclose that there is currently a customer dispute pending against Shabul A. Molla:
- FINRA Case 16-0019-a customer alleges that his account was churned, over concentrated, unsuitable investments were purchased and misrepresentations were made resulting in losses of $115,414.
If you have losses in an account handled by Shahbul A. Molla 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