January 2017- New York
According to publicly available records Jason H. Klabal , (CRD# 2910714) , a stockbroker who is currently employed by Alexander Capital, disclose 2 currently pending customer disputes.
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 FINRA Case 16-3549, a customer of Klabal’s former employer, Legend Securities, alleges damages of $200,000 for churning, misrepresentation, breach of fiduciary duty, negligence and breach of contract.
In FINRA Case 16-3029, a customer of Klabal’s former employer, Legend Securities, alleges damages of $150,000 for fraud, churning, excessive margin, over concentration, breach of fiduciary duty, breach of contract and negligence.
Klabal has been employed by Alexander Capital since 6/2016. He was previously employed by Legend Securities and before that, Buckman Buckman and Reid.
If you have questions about an account in an account handled by Jason H. Klabal, 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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