April 2018- San Antonio, Texas
According to publicly available records Gary C. Haack (CRD#2796834) , a stockbroker who is not currently registered with any broker dealer and who was last employed by Corecap Investments , discloses 2 prior customer disputes.
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 FINRA arbitration 15-0836, a customer of one of his prior employers, WFG Investments, sought damages of $115,000 and alleged unsuitable investments in speculative products in connection with an investment in a private placement offering of medical and research firms. The case was settled for $70,000 in 6/2016.
Gary C. Haack was employed by Corecap Investments from 6/2016-12/2017. He discloses a current affiliation with Change Path LLC, an investment advisory firm. Prior employment includes FSC Securities, WFG Investments and NEXT Financial Group.
If you have questions about an account handled by Gary C. Haack , contact us for a no charge consultation 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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