April 2018-Louisville, KY
The FINRA records of William C. (Billy) Fenwick Jr. , Senior VP and Board member of First Kentucky Securities Corporation disclose two pending customer disputes and a prior final customer dispute.
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 currently pending FINRA arbitration 17-0188 a customer of First Kentucky Securities Corp. alleges damages of $203,514 for unsuitable investments.
In currently pending FINRA arbitration 17-0157 a customer of First Kentucky Securities Corp. alleges damages of $500,000 for unsuitable investments in master limited partnerships (MLPs) and other investments from 2015-2016.
Fenwick has been employed by First Kentucky Securities since 11/2005. First Kentucky Securities, with offices in Lexington and Louisville, discloses 9 prior regulatory events. In 3/2018, First Kentucky Securities paid FINRA a fine of $50,000 overcharged fees to certain customers on mutual fund sales. FINRA Case 2016048226101.
If you have losses in an account in an account handled by William C. ( Bill) Fenwick Jr. , contact us for a no charge consultation to discuss how you may be able to recover damages for those losses 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.
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