June 2020 -Atlanta, GA
The FINRA records of Shelley L. Eddy , a stockbroker registered with Peachcap Securities, Inc. , disclose 5 pending customer disputes and 2 prior customer disputes.
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.
From December of 2019 until February of 2020, five customers each filed customer disputes alleging among other things, customer sales practice violations, including unsuitable investment, failure to diversity, misrepresentation and omissions and mismanagement. The total alleged damages are $193,000 and all of these cases are still pending.
Eddy has been employed with Peachcap Securities, Inc. since March of 2015 and has been with Peachcap Tax & Advisory since October of 2015. Prior employment includes Curian Capital, Curian Clearing and SII Investments.
If you have questions about an account handled by Shelley Eddy call for a no charge consultation with an experienced securities attorney.
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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