JUNE 2017- Charlotte, NC
According to publicly available records Matthew S. Kocsis, (CRD#4787057) , a stockbroker who is registered with Cambridge Investment Research discloses 2 prior 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 FINRA case #13-0151 a customer of Equity Services, Inc. alleged damages of $250,000 in connection with a private placement investment real estate securities. The customer alleged failure to disclose material facts and misrepresentation. That case was settled for $152,500.
Kocsis was employed with Equity Services, Inc. from 6/2004 until 10/2008 and with Valic Financial Services 10/2008-8/2011. He is currently employed by Cambridge Investment Research, Inc.
If you have questions about an account in an account handled by Matthew S. Kocsis, contact us to discuss your legal 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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