October 2017-Wantagh, NY
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, Wesley O. Clinton has been registered with Network 1 Financial Securities since 12/2012. Prior to that he was registered with Obsidian Financial (expelled from industry by FINRA 10/2013) and prior to that he was registered with QA3 Financial Corp.
FINRA records disclose that there is a customer dispute pending against Wesley Clinton. In FINRA Case 17-0141 a customer of Obsidian Financial alleges that an investment in an equity is unsuitable and is seeking damages of $50,000.
In a prior matter, FINRA Case 15-1467, a customer of Obsidian Financial Group alleged unsuitable transactions, breach of contract, fraud and churning . That case was settled in 10/2016 for $30,000
If you have losses in an account handled by Wesley Clinton , 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.
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