Category Archives: Coker & Palmer

Ty K. Bauer-Former J.P. Turner Broker-Discloses Customer Disputes-Oxford, MS

January 2017- Oxford, MS

According to publicly available records Ty Kevin Bauer , (CRD# 2150885) ,  a  stockbroker who is currently employed by Alexander Capital disclose 2 prior 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 13-3434, a customer of Bauer’s prior employers, J.P. Turner & Co. and Calton & Assoc, alleged damages of $200,000 for misrepresentations related to bond investments for the period of time October 2011 to the present. That case was settled for $18,000.

Bauer has been employed by Alexander Capital since 7/2016.  Bauer was previously employed by Coker & Palmer 1/2015-7/2016 and by J.P. Turner 11/2011-1/2015. Prior to that he was employed by Calton & Associates.

If you have questions about an account in an account handled by Ty K. Bauer, 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Former Broker Michael A. Barina Fined/Suspended by FINRA

 

FINRA announced in November 2013 that former broker Michael Anthony Barina of Longwood Florida, submitted a Letter of Acceptance, Waiver and Consent in which he was fined d$12,500 and suspended for three months. The findings indicate that Barina recommended to customers an investment in private placement pool, when he did not have a complete and sufficient understanding of the investment strategy. The investment strategy and parameters permitted it to invest up to 25% of its assets in a single security and permitted option trading.
Barina lacked a reasonable basis to believe that the entity was a suitable investment for customers, making the recommendation unsuitable.
According to FINRA records, Barina is not currently registered and was previously registered with the following broker dealers:
  • Merrimac Corporate Securities5/2013-10/2013
  • Aegis Capital Corp. 11/2011-5/2013
  • Coker & Palmer11/2009-11/2011
Brokers have a duty to make suitable recommendations and are required to take into account the age, health and financial sophistication of their customers. If you have suffered losses in your brokerage account and feel the investments were unsuitable, call to discuss your legal rights with an experienced securities attorney.

Rex Securities Law , located in Boca Raton, FL, 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.

Rex Securities Law

561 391 1900