May 2018- Addison, Texas
The FINRA records of Brad C. Brooks , a broker who is employed by Titan Securities disclose one pending customer dispute , 4 prior final customer disputes, a pending 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 pending FINRA case 17-2747 a customer of Titan Securities seeks damages of $300,000 and alleges that Brooks failed to supervise the broker.
In the currently pending regulatory matter FINRA alleges 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. FINRA Case 2013035345701.
Brad Brooks has been employed by Titan Securities since 10/2005.
Titan Securities is headquartered in Dallas, Texas, and has been a FINRA member since 2004. They have about 13 brokers located in 7 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.
Florida-561 391 1900