Jericho, New York
According to FINRA records, Philip Brisard , a stockbroker who formerly worked for Ridgeway & Conger discloses a pending regulatory matter, 4 final customer disputes and a termination from employment.
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 January 2016, FINRA name Philip Brisard in a complaint alleging that he, another representative and their firm sold an unregistered security. FINRA Case 2010022046101. That matter is currently pending.
In March 2016 Brisard was discharged by RIdgeway & Conger. The firm alleged that Brisard sold unsuitable products and charged excessive commissions.
Philip Brisard is not currently registered.
Investors with losses in accounts handled by Philip Brisard may be able to recover damages from his former employer through FINRA arbitration.
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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