fbpx

Bret Shapiro-Dawson James Broker-Fined/Suspended by FINRA

Bret Shapiro-Dawson James Broker-Fined/Suspended by FINRA

Bret Shapiro-Dawson James Broker-Fined/Suspended by FINRA 150 150 Rex Securities Law

Bret Marc Shapiro of Boca Raton, Florida, was fined $5,000 and suspended for three months by FINRA for failing to timely amend his form U4 to disclose various tax liens filed against him by the Internal Revenue Service within 30 days of receipt of the notice.

According to FINRA records. Shapiro has been registered with Dawson James Securities since February 2008.

If you have suffered losses in a brokerage account you may be able to recover all or a part of those losses through FINRA arbitration.

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.

Rex Securities Law

561 391 1900

%d bloggers like this: