June 19, 2015
Justin Amaral entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for on the record testimony pursuant to FINRA Rule 8210 in connection with a FINRA investigation.
According to the AWC, Amaral, through counsel, contacted FINRA Enforcement and informed them that he would not appear for on the record testimony on June 10, 2015.
Amaral was barred from association with any FINRA member in any capacity.
According to FINRA records, Amaral’s previous registrations include:
6/2009-5/2014 Morgan Stanley
1/2007-6/2009 Citigroup Global Markets
There are two pending customer disputes on his FINRA record:
- one customer alleges damages of $500,000 in connection with the investment in closed end funds that were misrepresented and unsuitable
- another customer alleges unspecified damages for gross mismanagement and misrepresentation involving mutual funds
If you have losses in an account handled by Justin Amaral, call to speak with an experienced securities attorney.
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
TollFree: 877-224-3199
Florida-561 391 1900
Texas-512-329-2870
