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FINRA Files Complaint Vs. Fort Worth Broker James Elward Scott

FINRA Files Complaint Vs. Fort Worth Broker James Elward Scott 150 150 Rex Securities Law

On July 14, 2014, the Financial Regulatory Authority (FINRA) Department of Enforcement filed a complaint against James Elward Scott of Fort Worth, Texas, alleging that assisted an individual in the recommendation and sale of securities in Texas when the individual was not registered with the State of Texas or FINRA.

The complaint further alleges that Scott collected over $117,000 in commissions which he shared with the non registered individual and that during his on the record interview with FINRA he knowingly supplied  false information.

According to FINRA records, Scott most recent registration includes:

  • International Assets Advisory         2/2013-7/2014
  • IMS Securities                 2/2013-2/2013
  • Kovack Securities          12/2012-1/2013
  • FSC Securities Corp.     3/2012-12/2012
  • Southwest Securities    5/2008-4/2012

 

Rex Securities Law provides nationwide representation to investors 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

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