Category Archives: Advisors Asset Management

Former Advisors Asset Management (AAM) Broker in San Antonio Sanctioned by Securities Regulator

July 20, 2015- San Antonio, Texas

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

AWC No. 2015044822901

Thomas  was  fined $5,000 and suspended for six months.

According to FINRA records, Thomas was registered with Advisors Asset Management  from 6/2014-3/2015.

Advisors Asset Management  has been a FINRA member since 1999 and is headquartered in Monument, Colorado.

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

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

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