fbpx

David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens

David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens

David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens 150 150 Rex Securities Law

June 2, 2015-Boca Raton, FL

David James LeDoux ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he failed to update FINRA records to reflect six tax liens totaling over $184,000.

LeDoux was fined $5,000 and suspended from association with any FINRA member for 45 days.

Disciplinary Proceeding NO. 2014041744701

According to FINRA records , LeDoux is currently registered with Westpark Capital in Boca Raton, FL. He was previously registered with National Securities Corporation from 6/2001-8/2014.

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

%d bloggers like this: