Sherman Thomas Felix, of Garden City, New York, a stockbroker formerly registered with Spartan Capital Securities, LLC, has been named in a customer initiated investment related arbitration claim on November 12, 2015, in which the customer requested $31,711.00 in damages based upon allegations that Felix made unsuitable recommendations to the customer concerning stock investments, where transactions that were effected pursuant to Felix’s recommendations caused the customer to sustain investment losses.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on March 4, 2011, a customer filed an investment related written complaint involving Felix’s conduct, in which the customer requested $200,000.00 in damages based upon allegations that Felix, while associated with Brookstone Securities, Inc., charged the customer with excessive commissions, churned the customer’s account and effected unauthorized over-the-counter equity and stock trades.
Felix was most recently associated with Arrive Capital Markets from January 20, 2017, to March 22, 2017. Since December 10, 1999, Felix has been associated with twenty-five different broker dealers, twenty of which have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct. #cockroach
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
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