August 2018- Devon, PA
The FINRA records of Terrence Fant, a stockbroker currently employed with Raymond James & Associates discloses a pending customer dispute.
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 July of 2018, a Raymond James customer, FINRA Case #18-02472 alleging breach of fiduciary duty, fraud, negligence and breach of contract and is seeking damages of $240,000.
Fant has been employed with Raymond James & Associates since March of 2011. He was previously employed with Boenning and Scattergood, Inc. and with W.R. Hambrect & Co.
Investors with losses in accounts that were handled by Terrence Fant may be able to recover damages through FINRA arbitration, a method of dispute resolution that is typically much shorter in duration and far less costly that court litigation. We typically accept these cases on a contingent fee basis. 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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