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.
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