March 2017-Altamonte Springs, Florida
According to publicly available records Eddie Basora, Jr. , (CRD# 4388378) , a former stockbroker who last worked for Merrimac Corporate Securities has been named in a complaint filed by FINRA.
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.
The FINRA complaint alleges that Basora willfully failed to timely amend FINRA records to disclose a felony charge and nolo contendere plea. In addition the complaint alleges that Basora failed to appear for on the record testimony before FINRA thereby impeding FINRA’s ability to investigate other rule violations, including failures to disclose a federal tax lien and three bankruptcies.
Basora’s other employment includes Freedom Investors Corporation and Financial Network Investment Corp.
If you have questions about an investment account handled by Eddie Basora, Jr. , call for a no charge consultation.
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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