Last Updated: September 2023 (Lantana, Texas)
Shaun Hayes Investigation Summary
Here’s what you need to know about Lantana, Texas, stockbroker Shaun Hayes:
- Name: Mr. Shaun Eugene Hayes
- Current Employer: Not Currently Registered as a broker, FQI Capital Management, Investment Advisor
- Previous Firms: Merrill Lynch Pierce Fenner & Smith, AXA Advisors, McElhenny Sheffield Capital
- Function: Investment Advisor Representative
- Aliases: Shaun E. Hayes
- Primary Location: Lantana, Texas
- CRD 4963876
- Can Shaun E. Hayes be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $190,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Shaun Hayes As Your Stockbroker?
In 7/2022 a customer of FQI Capital Management complained that Shaun E. Hayes had made a change in the customer’s investment strategy without consulting with the clients. Damages of $190,000 are sought in this pending matter.
Allegations of Broker Misconduct Against Shaun Hayes
A customer of Shaun E. Hayes has alleged the following wrongdoing in connection with the handling of customer accounts:
- Changed investment strategy without consulting clients
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.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Shaun E. Hayes, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
