Eric Willer Investigation
June 2022- Dallas, Texas
According to publicly available records Eric C. Willer , (CRD# 2263899 ) , a stockbroker who formerly worked with Fusion Analytics Securities discloses a regulatory suspension.
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 12/2021 FINRA suspended Willer for 9 months, beginning 12/2021, to resolve allegations that he recommended bonds in two private placement offerings without having a reasonable basis and negligently distributed misleading communications concerning the offerings to potential investors who collectively invested $460,000 in the offerings.
Willer was employed by Fusion Analytics Securities from 8/2015-6/2020. Following that he was employed by Kestra Investment Services from 6/2020 until 4/2021.
Fusion Analytics Securities has been a FINRA member since 2003 and is headquartered in Coral Springs, Florida. The company employs about 35 registered individuals in seven branch offices. According to FINRA records Fusion discloses 4 prior regulatory matters, including a recent $25,000 fine and censure in 4/2022 for the private offering of bonds.
If you have questions about an account handled by Eric C. Willer , 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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