Justin Anderson Investigation
March 2023- Austin, TX
According to publicly available records Justin A. Anderson, a former broker who last worked for CUSO Financial Services, discloses a final regulatory matter resulting in a permanent bar from the industry.
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 11/2022 FINRA permanently barred Anderson from the securities industry in all capacities to resolve allegations that he refused to appear for an-the-record testimony requested by FINRA during the course of an investigation that originated after it received a Form U5 from his member firm disclosing that he was under internal review for client signature discrepancies on account documentation.
Anderson discloses that he filed for Chapter 7 bankruptcy protection in Austin, TX, in 1/2021.
Anderson was employed by CUSO Financial Services from 1/2020 -3/2021. Before that time he was with Purshe Kaplan Sterling Investments and AXA Advisors.
If you have questions about an account handled by Justin Anderson contact us for a no charge consultation 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.
Florida-561 391 1900