February 2017-New York
According to publicly available records William F. White , (CRD# 2168943) , a stockbroker who is employed by Primex, discloses a pending FINRA investigation and the settlement of a 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.
FINRA is investigating White for not properly updating Form U4 to disclose the filing of a bankruptcy petition, civil lawsuits and liens , potentially violating various FINRA and NASD bylaws and rules.
White discloses that in 6/2015 he settled an arbitration filed by a customer of his former employer, K-One Investment Company, alleging sales practice violations, for $51,250.
William F. White has been employed by Primex since 10/2009. Prior to that he was employed by K-One Investment Company from 11/2004-7/2009.
If you have questions about an account in an account handled by William F. White , contact us to discuss your legal 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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