January 2019-Staten Island, NY According to publicly available records Raymond William Clark , a stockbroker who is currently registered with Woodstock Financial Group, disclose 8 prior customer disputes and a termination from employment.
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 10/2014 a customer of Clark’s prior employer, JP Turner and Company, was paid $700,000 to resolve allegations that Clark mismanaged the account and breached his fiduciary duty.
In 4/2011 another customer of J.P. Turner was paid $70,000 to resolve allegations that Clark churned their account and made misrepresentations.
Clark has been with Woodstock Financial Group since May of 2013. . His prior employment includes Chelsea Financial Services and JP Turner and Company. Clark discloses business affiliations with Biondolillo Financial Group (BFG) and Reascence Capital LLC.
If you have losses in an account in an account handled by Raymond William Clark, Jr. , 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.
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