May 2017-Staten Island, NY
The FINRA records of Raymond William Clark , a stockbroker who is currently registered with Woodstock Financial Group disclose 8 prior customer disputes and a termination from employment.
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 10/2013 a customer of Clark’s prior employer, JP Turner & Co. alleged damages of $1,090,718 for mismanagement of trading account, negligence and breach of fiduciary duty. The case was settled for $700,000.
Raymond W. Clark has been employed by Woodstock Financial Group since 5/2013. Prior to that he was employed by Chelsea Financial Services and before that JP Turner & Co.
If you have questions about an account handled by Raymond W. Clark , contact us to discuss your 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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