January 2019-Fort Worth, TX
According to publicly available records Shaun Eugene Hayes , a stockbroker who is currently unregistered and who last was employed by Merrill Lynch discloses 7 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.
Six complaints alleging unauthorized trading by Hayes were recently resolved for cash settlements ranging from $4,000 to $139,000.
Hayes was employed by Merrill Lynch from 2012-8/2017. Hayes discloses an affiliation with McElhenny Sheffield Capital Management in Dallas, TX.
If you have losses in an account handled by Shaun E. Hayes , contact us for a no charge consultation to learn how you may be able to recover damages 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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