May 2016- New York
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, Florence M. Simeon discloses that on April 27, 2016, she was ‘permitted to resign’ from Alexander Capital. Her employing firm, Alexander Capital alleged that Simeon was suspected of falsifying customer account documents.
According to FINRA records, SImeon was registered with Alexander Capital from 8/2015-4/2016. She was previously registered with J.P. Turner from 1/2011-8/2015 and prior to that with Hallmark Investments from 8/2006-12/2010.
If you have questions about an account handled by Florence M. Simeon 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.
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