Public records published by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that former New Jersey-based Viewtrade Securities broker Keith Mency is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mency (CRD# 4413129).
Keith Mency has spent eight years in the securities industry and was most recently registered with Viewtrade Securities in Jersey City, New Jersey (2015-2016). Previous registrations include Woodstock Financial Group in New York, New York; Blackbook Capital, which has since been expelled by FINRA, in New York, New York; Coastal Equities in New York, New York; John Carris Investments, which has since been expelled by FINRA, in Hoboken, New Jersey; Legend Merchant Group, which has since been expelled by FINRA, in New York, New York; International Assets Advisory in Orlando, Florida; National Securities Corporation in New York, New York; Chicago Investment Group, which has since been expelled by FINRA, in New York, New York; Joseph Stevens & Company in Brooklyn, New York; Gunnallen Financial in New York, New York; and VFinance Investments in New York, New York. He is currently not registered with any state or firm.
According to his BrokerCheck report, Keith Mency has received one customer complaint and one discharged from two previous employers.
In June 2016, Keith Mency was terminated from his position at Viewtrade Securities following allegations he engaged in unsuitable trading.
In September 2015, Keith Mency was terminated from his position at Woodstock Financial Group following allegations he engaged in unauthorized trading.
In March 2015, a customer alleged Keith Mency, while employed at Blackbook Capital, executed an unauthorized trade. The complaint settled for $5,000.
In 2005, the New York State Tax department filed a tax lien totaling $1,675 against Keith Mency. The lien remains outstanding.
In 1998, the Nassau Educators Federal Credit Union filed a judgment totaling $2,804 against Keith Mency. The judgment remains outstanding.
According to FINRA rules and federal securities law, financial professionals like Keith Mency are prohibited from executing transactions without a customer’s permission or authorization. There are some exceptions, including discretionary accounts and, in some circumstances, margin accounts. Brokers, investment advisers, and broker-dealer firms who effect unauthorized trades may be subject to disciplinary action by FINRA or the Securities and Exchange Commission. If you have lost money investing with Keith Mency, you may be able to collect lost funds. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.