May 2016-South Norwalk, CT
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, Maxim Group stockbroker Christopher Kazan discloses that he was discharged by Maxim Group 9/24/2015 with the following allegation: “Terminated due to allegations made by a customer regarding unsuitable transactions”
According to FINRA records, Christopher Kazan was registered with Maxim Group from 10/2002-10/2015. Kazan is currently registered with National Securities Corporation.
If you have questions about an account handled by Christopher Kazan contact us to discuss your options and 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