February 2018- Boca Raton, FL
Felipe Arrieta, a stockbroker who is currently employed by Dakota Securities International and was formerly employed by Revere Securities, discloses 3 prior final and 1 pending customer disputes on his publicly available FINRA record.
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 5/2007 a customer of his former employer, Newbridge Securities Corporation, alleged suitability, use of margin, unauthorized trading and breach of fiduciary duty. That case was settled for $60,000.
In currently pending FINRA case 170866, filed in April 2017, a customer of Revere Securities alleges breach of fiduciary duty, breach of contract and unauthorized trading and is seeking damages of $200,00.
Arrieta has been employed by Dakota Securities International since 7/2016. He was employed by Revere Securities from 8/2014-8/2016. His previous employers include Westpark Capital, Bolton Global Capital, Jesup & Lamont Securities, VFinance Investments, and Newbridge Securities.
If you have questions about an account handled by Felipe Arrieta 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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