Scott Bremus Investigation
April 2022- Dacula, GA
According to publicly available records Scott Bremus, a broker previously registered with LPL Financial discloses a final customer dispute and a termination from employment.
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 September of 2009, a customer of his former employer, Morgan Stanley Smith Barney, alleged misrepresentation with respect to variable annuity investments. The case was settled for $60,000.
In October of 2021, Bremus was discharged from employment by LPL Financial who makes the following allegation on his FINRA record: “Facilitated private securities transactions without Firm approval”.
Bremus had been with LPL Financial since October of 2016. Earlier in his career he was registered with Sterne Agee Financial Services, Morgan Stanley Smith Barney and Citigroup. He is not currently registered with any broker dealer.
If you have questions about an investment account with Scott Bremus, call to learn how you may be able to recover damages through FINRA arbitration.
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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