April 2020-Dallas, TX
According to publicly available records of Anthony F. Vaccaro, Jr. (CRD#3139011) , a former stockbroker who last worked for Raymond James & Associates, Inc. discloses a regulatory event and a termination.
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 17-1028, Vaccaro was sued by his former employer Raymond James for failure to repay loans made to him. An arbitration panel found that Vaccaro liable for payment of principal and interest of about $1.75 million. In August of 2019, FINRA suspended Vaccaro from the securities industry indefinitely after finding that he failed to comply with that arbitration.
Vaccaro was employed with Raymond James from October 2013 until 6/2016 when he was discharged for violating the firm’s gift, client entertainment, third party expense reimbursement and charitable contributions policy by failing to disclose benefits received from an insurance company. Prior to that he was with Southwest Securities, Inc., and Oppenheimer & Co., Inc.
If you had an account with Anthony Vaccaro, Jr. that suffered losses, you may be entitled to collect damages from his prior employer. Call to discuss 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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