Last Updated: November 2023 (Los Angeles, CA )
Wayne Platt Investigation Summary
Here’s what you need to know about Los Angeles, CA, stockbroker Wayne Platt:
- Name: Mr. Wayne Howard Platt
- Current Employer: Rainmaker Securities
- Previous Firms: Hamilton Grant LLC, Brean Capital, Niagara International Capital Limited, Houlihan Lokey Howard & Zukin Capital
- Function: Stock Broker/ Financial Advisor
- Aliases: Wayne Platt
- Primary Location: Los Angeles, CA
- CRD 2204835
- Can Wayne Platt be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discloses outstanding tax liens: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Wayne Platt As Your Stockbroker?
On his CRD, Wayne Platt discloses two currently outstanding tax liens in favor of the Internal Revenue Service and one in favor of the State of California, totaling over $160,000.
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.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Wayne Platt, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
