January 2017-Friendswood, Texas
The FINRA records of Steven W. Shirley, a stockbroker with IMS Securities disclose a a currently pending customer dispute.
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 Case 16-03128 a customer of IMS Securities alleges damages of $100,000 for due diligence, negligence , and breach of fiduciary duty in connection with the investment in real estate investment trusts (REITs) and limited partnerships.
Shirley has been registered with IMS Securities since July 2002.
If you have questions about an account in an account handled by Steven W. Shirley , contact us to discuss your legal 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.
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