September 2018-Boca Raton, FL
The FINRA records of Gregory Spencer O’Brien, a stockbroker who was formerly employed by Aegis Capital Corp. disclose a pending customer dispute and 2 prior final 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.
In 2/2018 a customer of Aegis Capital filed FINRA arbitration 18-402 alleging that from 101/2013 to the present O’Brien made unsuitable investment recommendations and breached his fiduciary duty in connection with investments in equities, real estate securities and unit investment trusts. The customer seeks damages of $500,000.
O’Brien was employed by Aegis Capital from 11/2013 until 9/2018. He is currently employed by PHX Financial, Inc. O’Brien also discloses a business affiliation with CNA Finders, Holly Springs, N. Carolina.
If you have losses in an account in an account handled by Greg O’Brien , contact us for a no charge consultation to discuss how you may be able to recover damages for those losses 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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