The FINRA records of Amadou Bah, a former stock broker who was last employed employed by Maxim Group LLC disclose a regulatory matter resulting in a bar from the securities industry and a currently 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 April 2017 Amadou Bah was permanently barred from the securities industry by FINRA for failing to respond to FINRA requests for information in connection with FINRA Case 2016049429801.
In pending FINRA Case 17-02832 filed in December 2017 a customer of his former employer Maxim Group LLC alleges that his account was excessively traded , fraud , churning and unauthorized trading. The arbitration which is pending in Cleveland, Ohio, seeks damages of $200,000.
Amadou Bah was registered with Maxim Group from 9/2013-3/2016. Prior to that his employment includes Garden State Securities , EJ Sterling Inc. , and Meyers Associates (now known as Windsor Street Capital.
If you have questions about an account handled by Amadou Bah, call for a no charge consultation to learn about your options.
Meyers Associates is now Windsor Street Capital
In 2016 Meyers Associates changed its name to Windsor Street Capital. While called Meyers Associates the firm gained a reputation for hiring brokers whose FINRA BrokerCheck reports had an inordinate number of disclosures. The Investment News reported in 2014 that Meyers Associates "stands out as a haven for registered representatives with black marks on their employment histories".
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
Disclosure: I/we have no positions in any stocks mentioned, and no plans to initiate any positions within the next 72 hours.