August 2016-Westbury, New York
The FINRA records of Kristopher R. Tung , a stock broker who is currently employed by Axiom Capital Management , discloses a pending customer dispute.
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 16-0140, a customer of Tung’s prior employer, Liberty Partners Financial Services alleges damages of $42,383 for failure to supervise.
Tung has been employed by Axiom Capital Management since 10/2015. Prior to that he was employed by Rockwell Global Capital, B.B. Graham & Co. and Liberty Partners Financial Services.
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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