MAY 2018 UPDATE–Wayne Kirk has not been registered as a stockbroker since leaving Reef Securities in 4/2017.
FINRA Arbitration 16-0307, discussed below, was settled 2/2017 for $60,000.
ORIGINAL POST JUNE 2017-Richardson, Texas
According to FINRA records, Harris Wayne Kirk, a stockbroker who works for Reef Securities, discloses a recently filed customer dispute.
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.
In the currently pending matter, a customer of Reef Securities alleges damages of $250,000 failure to conduct due diligence, failure to supervise and failure to adequately disclose risks of investments in connection limited partnership investments. FINRA Case # 16-307.
Kirk, who previously worked for Chestnut Exploration Partners, now known as Texas E&P Partners, also discloses 3 prior customer disputes, a regulatory investigation that is final, and a termination from securities employment .
If you have questions about an account handled Harris Wayne Kirk, call for a no charge consultation.
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