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Christopher Veale–Former Legend Securities Broker Sanctioned by Regulator

Christopher Veale–Former Legend Securities Broker Sanctioned by Regulator

Christopher Veale–Former Legend Securities Broker Sanctioned by Regulator 150 150 Rex Securities Law

UPDATE March 28, 2016- Christopher Veale‘s FINRA record reports 11 prior customer complaints that have been resolved and one pending dispute. See this for more. 

August18, 2015,

Christopher Frederic Veale , entered into an Order Accepting Offer of Settlement (Order)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he did not timely comply with FINRA requests that he provide information and testimony in connection with a FINRA investigation that he did not timely report outstanding tax liens and judgments of over $700,000.

Disciplinary Proceeding No. 2015044099801

Veale was suspended for 12 months and assessed a fine of $5,000. According to FINRA records, Veale has been registered with 17 different firms since 1994, including the following:

Legend Securities                                        5/2013-2/2015

John Thomas Financial                            4/2013-5/2013

Meyers Associates                                     11/2012-3/2013

If you suffered damages in an account handled by Christopher Veale you may be able to recover damages from his employing firm. Call us to discuss your options.

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

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