April 2016- New York
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
FINRA records are public and can be accessed on the BrokerCheck website.
The FINRA records of Richard Gomez report that he is currently named in a FINRA regulatory Complaint, No. 2011030293503, which alleges that while employed by Legend Securities, Inc., he defrauded investors of at least $499,000 through his participation in two separate schemes involving private securities transactions away from his firm, Praetorian Global Fund and U.S. Coal Corporation.
Gomez’s FINRA record discloses 2 pending customer disputes:
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- FINRA Case 16-0035 filed by a Florida resident against Gomez while he was employed by Avenir Financial Group alleges unauthorized trading, excessive commissions, churning and suitability. The customer alleges damages of $110,000.
- FINRA Case 15-01041 filed against Gomez while he was employed by Legend Securities, alleges violation of NY Consumer Protection Act and NY Business Law 349, breach of contract, fraud and other claims and seeks damages of $110,000.
Gomez has been registered with 17 different brokerage firms since 2006, some for as short a period as 2 or 3 months. See his FINRA record for complete details.
If you have losses in an account handled by Richard Gomez, and believe that your account was mishandled, call 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.
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