Category Archives: ViewTrade Securities

Mark A. Ford of ViewTrade Securities in Boca Raton Discloses Regulatory Investigation

Boca Raton, Florida

According to FINRA records Mark A. Ford ,   a stockbroker with ViewTrade Securities.   discloses  a pending regulatory investigation.

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.

Ford’s FINRA record indicates that FINRA examination #20140404879 is currently pending. The investigation is for potential violations of Section 5 of the Securities Act of 1933 and FINRA Rule 2010.

Section 5 of the Securities Act of 1933 deals with prohibitions relating to interstate commerce and the mails and the registration of securities.

FINRA Rule 2010 is a catch all provision entitled “Standards of Commercial Honor and Principles of Trade” and states:

” A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.”

Ford also discloses a pending outstanding judgement of $30,220.42 in favor of Heron Bay Community Association. Broward County Court, Case# 112721488.

If you have questions about an account handled by Mark A. Ford, 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Brian Herman of ViewTrade Securities in Boca Raton Discloses Regulatory Investigation

Boca Raton, Florida

According to FINRA records Brian M. Herman   a stockbroker with ViewTrade Securities.   discloses  a pending regulatory investigation.

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.

 

Herman’s FINRA record indicates that FINRA examination #20140404879 is currently pending. The investigation is for potential violations of Section 5 of the Securities Act of 1933 and FINRA Rule 2010.

Section 5 of the Securities Act of 1933 deals with prohibitions relating to interstate commerce and the mails and the registration of securities.

FINRA Rule 2010 is a catch all provision entitled “Standards of Commercial Honor and Principles of Trade” and states:

” A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.”

Herman discloses one prior customer dispute. In NASD Case 6-5049 a customer alleged damages of $100,000 for breach of fiduciary duty and omissions in connection with an investment in a fixed income product. The customer was awarded $25,000 following an arbitration hearing.

 

If you have questions about an account handled by Brian M. Herman, 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Matthew J. Ronan-ViewTrade Securities Broker-Discloses Pending Regulatory Investigation

Boca Raton, Florida

According to FINRA recordsMatthew J. Ronan  a stock broker who works for ViewTrade Securities  discloses  a customer dispute that has been finalized and a pending regulatory investigation.

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.

Ronan’s FINRA record discloses that FINRA instituted an investigation in September 2015 for potential violations of Section 5 of the Securities Act of 1933 and FINRA Rule 2010. Examination #20140404879.

Section 5 of the Securities Act of 1933 regulates the timeline and distribution process for issuers who offer securities for sale. FINRA Rule 2010 is entitled Standards of Commercial Honor and Principles of Trade and states that “A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.”

Ronan’s  previous employment includes Wedbush Securities and Oppenheimer & Co.

If you have questions about an account handled by Matthew J. Ronan, 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Alan R. Pacella-ViewTrade Securities Broker-Discloses Pending Investigation

Boca Raton, Florida

According to FINRA records, Alan R. Pacella  a stock broker who works for ViewTrade Securities  discloses a regulatory matter that has been finalized , a customer dispute that has been finalized and a pending regulatory investigation.

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.

Pacella’s FINRA record discloses that FINRA instituted an investigation in September 2015 for potential violations of Section 5 of the Securities Act of 1933 and FINRA Rule 2010. Examination #20140404879.

Section 5 of the Securities Act of 1933 regulates the timeline and distribution process for issuers who offer securities for sale. FINRA Rule 2010 is entitled Standards of Commercial Honor and Principles of Trade and states that “A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.”

Pacella’s  previous employment includes Mediterranean Securities Group, VFinance Investments and SMH Capital.

If you have questions about an account handled by Alan R. Pacella, 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870