January 2020 – Eden Prairie, MN
The FINRA records of Corey Lee Mireau, a stockbroker who is currently not registered with any broker dealer, disclose a regulatory event, 2 settled customer disputes, a termination and 3 outstanding 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 April of 2019, FINRA case #2017055910301 was filed after findings that Mireau borrowed $150,000 and $500, respectively, from two of his member firm customers without notifying or obtaining prior written approval from his firm. The findings stated that Mireau borrowed $150,000 from a customer so that he could invest in a wholesale company in the e-cigarette business. FINRA found that Mireau falsely attested on annual compliance questionnaires that he had disclosed all of his outside business activities with the firm and had not engaged in any unapproved private securities transactions. Sanctions ordered by FINRA were two years suspension, restitution of $154,458 and a monetary fine of $15,000.
In 11/2017 a customer of Ameriprise Financial Services, Inc. alleged that he invested $250,000 through Mr. Mireau in a company called Vapor Distribution, Inc., and that the client had lost most of the investment. The case was settled for $80,000.
Mireau worked for Ameriprise Financial Services, Inc. from 5/1998 until 9/2017 when he was was permitted to resign from after he was suspended by FINRA.
Mireau discloses three outstanding Internal Revenue Service liens totalling nearly $150,000, filed in Hennepin County , Minneapolis, MN.
If you have problems in an account handled by Corey Mireau call for a no charge consultation .
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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