May 2018-Houston, Texas
According to FINRA records, Meredith Ann McCutchen , a stock broker who was previously employed by Concorde Investment Services and Berthel Fisher and who is currently employed by Moody Securities , discloses a recent settlement of a customer complaint.
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 FINRA case 17-02096 a customer of McCutchen, while employed by Berthel Fisher and Concorde Investments, alleged that their account was mishandled by McCutchen. The investments involved were Oil and Gas and Real Estate securities. In January 2018, the customer was paid $44,000 to resolve the arbitration.
McCutchen has been employed by Moody Securities since 3/2016.
If you have questions about losses an account handled by Meredith A. McCutchen, call for a no charge consultation to learn how you may be able to recover damages.
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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