January 2019 – Austin, TX
According to publicly available records Omar Charles Richardson , a stockbroker who is currently registered with Charles Schwab & Co., Inc., discloses a pending customer dispute
The Financial 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 November 2018, a customer of Charles Schwab, Inc., filed FINRA case 18-03907 alleging failure to follow instructions because they believe their order to buy 3100 shares of the Credit Suisse Velocity Shares Daily Inverse VIX shares should have been cancelled. The alleged damages are $280.934.
Richardson has been employed with Charles Schwab & Co., Inc. since 2011.
If you have questions about account handled by Omar Charles Richardson, contact us for a no charge consultation to learn about your legal options for recovery of losses.
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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