April 2020-Houston, TX
According to publicly available records of Rodrick Dow (CRD#2855724) , a former stockbroker who last worked for Securities America, Inc., was recently suspended indefinitely.
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 November of 2019, FINRA suspended Dow from the securities industry, indefinitely, after he failed to comply with an arbitration award ordering him to repay a loan to his former employer, Securities America.
In 2012 Dow, who was also a certified public accountant, was suspended for 2 years by the Texas State Board of Accountancy and fined $19,769 for failing to correctly prepare a client tax return, failure to attend an IRS meeting regarding a client audit and misleading advertising on his business website.
Dow was employed by Securities America from August/ 2016 until November/2019. Prior to that time he was with Cetera Financial Specialist, Cetera Investment Advisors, Centaurus Financial, Inc. and H.E. Vest Investment Services.
If you have questions about an account handled by Rodrick Dow call to discuss your options 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.
Florida-561 391 1900