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.
Regal Securities made the following statement on FINRA records with regard to the termination:
“violations of internal policies and procedures, including facilitating the alteration of signed customer account documentation, failure to enforce security protocols to ensure that an unregistered person could not access confidential customer information and providing that person access to commission payment account, failure to disclose outside business activities, and failure to report customer complaint to compliance department for review.”
According to FINRA records, Denise A. Cerveny was also registered with Landmark Investment Group previously.
If you have questions about an account handled by Denise A. Cerveny contact us to discuss your options and 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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