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Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading

Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading

Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading 150 150 Rex Securities Law

UPDATE-March 24, 2016

Barry S. Brower is not currently registered with any broker dealer.

 

Our Original Post–March 6, 2015,  Fair Oaks Ranch, Texas 

Barry S. Brower,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he exercised discretion over customer accounts and made trades without written authorization.

Brower  was assessed a deferred fine of $10,000 and suspended from association with any FINRA member for five months.

FINRA Case # 2014039751601

According to FINRA records, Brower was registered with Ameriprise Financial in San Antonio, Texas, until March 2014.

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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