June 2017- New York
According to publicly available records Scott David Offerman (CRD#4619093) , a stockbroker who currently is employed by Sandlapper Securities , discloses a termination from employment and 9 outstanding judgment/liens.
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 4/2017 Scott Offerman was permitted to resign from Concorde Investment Services for “failure to disclose Form U4 reportable liens in a timely manner”.
Offerman discloses tax liens to the Recorder of Deeds in Trenton, NJ, New York, NY and Albany, NY. He also discloses a tax lien in the amount of $12,649 to the New York Department of Taxation and Finance.
Offerman was employed by Concorde Investment Services 1/2013-4/2017. Prior to that he was employed by Park Avenue Securities.
If you have questions about an account handled by Scott D. Offerman , contact 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.
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