March 2018
The FINRA records of Gil Sharon , a stock broker who is employed by Maxim Group LLC disclose a pending customer dispute and 3 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 pending FINRA Case 17-02832 filed in December 2017 by a customer of Maxim Group LLC alleges that his account was excessively traded , fraud , churning and unauthorized trading. The arbitration which is pending in Cleveland, Ohio, seeks damages of $200,000.
In a prior customer dispute that was resolved in 12/2013, a customer of his former employer, Gilford Securities, alleged unsuitable trading and unsuitable investments and was paid a $40,000 settlement.
Gil Sharon has been registered with Maxim Group since 8/2011.
If you have questions about an account handled by Gil Sharon call for a no charge consultation to learn about 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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