Dallas, Texas
According to FINRA records, Murray B. Roark, a stockbroker who works for Wunderlich Securities , discloses a pending customer dispute and three prior final customer disputes.
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 pending FINRA Case 16-0404, a customer alleges damages of $303,950 for lack of diversification, over concentration and misrepresentation from October 2014 through 2015. The product type is indicated to be Equity-OTC, Equity Listed and Oil & Gas.
Roark has been employed by Wunderlich since 7/2011. Prior to that he was with Morgan Keegan & Co.
If you have questions about an account handled by Murray B. Roark , 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.
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