Tag Archives: Leonard & Co.

Wayne Boucher- Former Corecap Investments Broker- Discloses Settlement of Customer Disputes-Southfield,MI

September 2019 -Southfield, MI

According to publicly available records Wayne T. Boucher  (CRD#26819) , a currently unregistered  stockbroker who last worked for  Corecap Investments disclose  32 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.

In the most recent matter, FINRA case 16-3202, a customer of CoreCap Investments/Leonard & Co./ L.M. Kohn alleged that Boucher was negligent, committed fraud, and violated FINRA rules in conjunction with the sale of corporate bonds and sought damages in the range of $800,000-$1.4 million. In 1/ 2018 that matter was settled for $167,500.

Boucher’s FINRA records disclose that during his career 31 suits  brought by his customers were resolved with cash payments. Total settlements are nearly $2 million.

Boucher  was employed by Corecap Investments  from October 2012 until March of  2017.

If you have questions about an account handled by Wayne Boucher contact us to discuss your options.

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.

International Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Holly Maurer- Corecap Investments Broker-Discloses Settlement of Several Customer Disputes-Southfield, MI

October 2017 – Southfield, MI

According to publicly available records Holly M. Maurer  (CRD#2764991) , a  stockbroker who is registered with Corecap Investments , disclose 5 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.

In a recently resolved matter, filed in August of 2017, a customer of Corecap Investments, sought damages of $110,000 alleging that broker acted as their representative when their prior representative was suspended and for breach of fiduciary duty in the handling of their account. That case was settled for $75,000.

In FINRA case 18-0859, a customer of CoreCap Investments alleged that registered representative Ernest Romer stole money from her and that Maurer knew of or participated in theft. That case was settled for $110,000 in 8/2018.

In FINRA case 18-0198, a customer of CoreCap Investments alleged that they loaned money to a since terminated broker which he did not pay back. They alleged fraud, embezzlement and violations of the securities laws against the broker and his supervisor.  That case was settled for $150,000 in 8/2018.

In FINRA case 17-2795, a customer of CoreCap Investments , Leonard & Co. and L.M. Kohn alleged that another broker who worked with Maurer stole money and that Maurer ‘materially aided’ the conduct.  That case was settled for $115,000 in 8/2018.

Maurer  has been employed by Corecap Investments since October of 2012.

If you have questions about an account handled by Holly Maurer  contact us for a no charge consultation to discuss your options.

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.

International Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870