Boca Raton Broker Sean Mollard Fined and Suspended by FINRA

Boca Raton Broker Sean Mollard Fined and Suspended by FINRA 150 150 Rex Securities Law

Boca Raton, Florida

UPDATE June 2016-Mollard discloses $1M customer arbitration. See this for more details. 

In March 2014 the Financial Industry Regulatory Authority fined Boca Raton , FL , broker Sean Wesley Mollard $5,000 and suspended him for six months.

 These sanctions were imposed to resolve FINRA allegations that Mollard failed to timely respond to FINRA requests for information and documents. It was not until FINRA issued a Notice of Suspension to Mollard that he responded to the requests.
According to FINRA records Mollard is not currently registered . His previous registration history includes:
7/2013-12/2013 Aegis Capital 
5/2007-9/2012 Dawson James Securities
8/2006-5/2007 Chicago Investment Group

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.

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Rex Securities Law

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