The securities fraud attorneys at Colling Gilbert Wright and Carter are investigating former Broker Dealer Financial Services Corp. registered representative Norman R. Sicard, Jr. most recently of Orlando, Florida. According to FINRA's Broker Check, Mr. Sicard has a pending customer complaint seeking to recover in excess of one million dollars.
Mr. Sicard has been employed in the securities industry since August 1992. In the twenty-four plus years he has been employed as a registered representative, Mr. Sicard has been employed by at least six different firms, including Wunderlich Securities, Wachovia Securities, JW. Genesis Financial, Chatfield Dean and finally Broker Dealer Financial Services Corp. until he left the industry in December 15, 2016.
In March 2010, Mr. Sicard was discharged from a personal bankruptcy filing. Bankruptcy, liens and judgments are indicative of financial hardship/debt and a prime motivator for high commission generating trading activity. As concerning, a stock broker who cannot properly manage his own finances probably should not be in the position of managing the investments and finances of clients.
Clients of Norman R. Sicard, who have suffered losses may be able recover their losses through FINRA securities arbitration. The experienced securities fraud attorneys at Colling Gilbert Wright & Carter have successfully represented hundreds of investors in cases of unsuitable trading, negligence, breaches of fiduciary duty and failures in supervision. Our case reviews are free of charge and our firm is only compensated if you receive compensation for your losses. Please contact us or call (800) 766-1000 for further information.