On October 23, 2014, the Securities Commissioner of South Carolina entered an order barring Richard Holliday from participating in any aspect of the securities industry in or from the State of South Carolina.
In August 2014 the Financial Industry Regulatory barred Holliday from the securities industry in connection with loans he made from customers which were not disclosed to his firm. According to FINRA records, since 1998, Holliday has worked for the following broker dealers in Anderson, South Carolina:
- The Investment Center, Inc.
- Spire Securities, LLC
- American Securities Group
- Morgan Stanley Smith Barney
- Citigroup Global Markets
Rex Securities Law provides nationwide representation to investors 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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