May 2017- Tucson, AZ
The FINRA records of Francisco (Frank) B. Almada, a stockbroker who is currently employed by Union Capital Company disclose a pending customer dispute, a prior final customer dispute and a prior financial event .
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 the currently pending FINRA arbitration 16-02790 a customer of Union Capital Company alleges damages of $500,000 for failure to supervise .
Alamada has been employed by Union Capital Company since 8/2001.
If you have questions about an account handled by Francisco B. Almada call for a no charge consultation.
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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