In September 2014, the FInancial Industry Regulatory Authority (FINRA) announced that Orlando, FL, broker Reginald Maurice Berthlaume, Jr. was suspended for two years and assessed a deferred fine of $10,000 to resolve allegations that he failed to timely disclose to his member firms his involvement in outside businesses and failed to timely respond to FINRA requests for information.
According to FINRA records, Berthlaume was most recently registered with Securities America. Prior to that he was registered with Kovack Securities.
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.
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