Brad Brooks-Titan Securities Broker-Discloses Regulatory Investigation-Addison, TX

Brad Brooks-Titan Securities Broker-Discloses Regulatory Investigation-Addison, TX

Brad Brooks-Titan Securities Broker-Discloses Regulatory Investigation-Addison, TX 150 150 Rex Securities Law

Brad Brooks Investigation

November 2021- Addison, Texas

The FINRA records of  Brad C. Brooks ,  a   broker who is employed by  Titan Securities  disclose a currently pending regulatory investigation, 6 prior final customer disputes, a regulatory event and a prior final regulatory event.

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 3/2021 FINRA made a preliminary determination to recommend that disciplinary action be brought against Brooks alleging violation of FINRA Rule 2010 for contravening Section 17(a)(2) of the Securities Act of 1933 and violations of FINRA Rules 3110 and 2010.

Brooks is currently appealing a regulatory matter in which FINRA alleged that Brooks failed to adequately supervise the outside business activities of one of the brokers for which he was responsible. The outside business activities involved the sale of private investments and limited partnership units. In a 6/2021 ruling Brooks was fined $100,000 and suspended for two years. Brooks has appealed this decision to the SEC. FINRA Case 2013035345701. 

Brad Brooks has been employed by Titan Securities since 10/2005. Brooks discloses a business affiliation with American Capital Securities of Frisco, TX.

Titan Securities is headquartered in Dallas, Texas, and has been a FINRA member since 2004. They have branch offices in:

  • Arlington, TX
  • Abilene, TX
  • Overland Park, KS
  • Dallas, TX
  • Rowlett, TX
  • Henrico, VA
  • Kingston, OK

If you have questions about an account  handled by Brad C. Brooks , contact us for a no charge consultation to discuss your legal options for recovery.

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, at no cost to you.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 


This site is protected by wp-copyrightpro.com

%d bloggers like this: