February 2019-Dallas, TX
According to publicly available records Charles R. Constant , (CRD#2247839) , a stockbroker who is not currently registered and who last was employed by Wavecrest Securities discloses a termination from employment and a regulatory action.
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 8/2016 Constant was suspended by FINRA for failing to respond to a FINRA request for information.
Charles Riley Constant was employed by Wavecrest Securities from 2/2015-12/2016. In 12/2016 Parks was discharged by WaveCrest Securities who made the following allegation on his FINRA record: “The representative violated both firm policies and FINRA Rules 3270 and 3280.”
FINRA Rules 3270 and 3280 requires brokers to provide notice to their firm before engaging in outside business activities.
Charles Constant’s prior securities industry employment includes, M Holdings Securities, Merrill Lynch and Wells Fargo Advisors. He discloses business affiliations with PKS Insurance and Truth Data Insights.
If you have questions about an account handled by Charles R. Constant call for a no charge consultation with an experienced securities attorney 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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