UPDATE October 2016– Without admitting or denying the allegations Howard Landers consented to the entry of findings that he willfully failed to timely amend his Form U4 to disclose unsatisfied IRS tax liens totalling $375,704 that were filed against him. Landers consented to a suspension in all capacities for three months commencing October 17, 2016.
Orignal Post—March 21, 2016-Miami, Florida
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.
FINRA records are public and can be accessed on the BrokerCheck website.
The FINRA records of 1st Bridgehouse Securities stock broker Howard B. Landers report that he has recently been named in a Complaint filed by FINRA Department of Enforcement. The complaint in Disciplinary Proceeding 2013035298602, alleges that Landers failed to amend his FINRA Form U4 to disclose four unsatisfied IRS tax liens totaling approximately $375,000 that were filed against him in 2012-2013.
If you have questions about an account handled by Howard B. Landers, call to speak with an experienced securities attorney.
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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