Boca Raton, Florida
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.
Florida-561 391 1900