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Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales

Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales

Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales 150 150 Rex Securities Law

June 9, 2015

Bolton Global Capital ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from at least May 2011 through May 2012, they failed to provide prospectuses to customers who purchased exchange traded funds (ETFs) as required by securities laws.

Bolton Global Capital  was censured and  fined $35,000 .

Disciplinary Proceeding NO. 2012030523201

Bolton Global Capital is based in Bolton, MA, and has 115 representatives in 53 branch offices.

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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