On March 14, 2013, the Florida Office of Financial Regulation (OFR) fined Hunter Scott Financial, LLC, of Delray Beach, FL, $20,000 for violations of Section 517.161 Florida Statutes.
The Florida OFR found that during 2010-2012, Hunter Scott overcharged customers fees of $125,000 in violation of Florida Statutes, the Florida Administrative Code, FINRA Conduct Rule 2010, NASD Conduct Rules 2110 and 2430 and Rule 10b-10 of the Securities Exchange Act of 1934.
If you have questions or complaints about losses in your brokerage account, call us for a no charge consultation.
Rex Securities Law , located in Boca Raton, FL, 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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