Former Asset Advisors Management Broker from Boerne Texas Sanctioned by Securities Regulator

Former Asset Advisors Management Broker from Boerne Texas Sanctioned by Securities Regulator

Former Asset Advisors Management Broker from Boerne Texas Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

July 20, 2015

Andrew Joseph Thomas  of Boerne, Texas, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he  failed to amend his Uniform Application for Securities Registration or Transfer to disclose the receipt of a target letter from the District Attorney in Bexar County, Texas, notifying him that he was the target of a Grand Jury investigation involving potential insurance fraud.

AWC NO. 2015044822901

Thomas  was fined $5,000 and suspended for six months.   According to FINRA records he was registered with Advisors Asset Management  from 6/2014-3/2015. Prior to that he was employed by Accenture in San Antonio.

Advisors Asset Management (AAM) was established in 1979 and was formerly known as Fixed Income Securities. AAM has 10 major 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

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