Category Archives: Andrew Garrett Inc.

Pamela Wooten-Former Andrew Garrett Broker- Barred by FINRA

 

 Pamela Anne Wooten (CRD #1313028, Registered Principal, Beaufort, South Carolina) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Wooten consented to the described sanction and to the entry of findings that she failed to appear for investigative on-the-record testimony to obtain information concerning certain transactions she executed between her member firm and one of its customers. The findings stated that Wooten’s counsel acknowledged receipt of the request; and Wooten, through her counsel, informed FINRA that she would not appear for testimony. ( FINRA Case #2011029679501)

According to FINRA records, Wooten was registered with Andrew Garrett, Inc. 10/2002-8/2012.

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 Andrew Garrett Broker Pamela Wooten Barred by FINRA

By Robert H. Rex, Esq. 

 Pamela Anne Wooten (CRD #1313028, Registered Principal, Beaufort, South Carolina) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Wooten consented to the described sanction and to the entry of findings that she failed to appear for investigative on-the-record testimony to obtain information concerning certain transactions she executed between her member firm and one of its customers. The findings stated that Wooten’s counsel acknowledged receipt of the request; and Wooten, through her counsel, informed FINRA that she would not appear for testimony. ( FINRA Case #2011029679501)

According to FINRA records, Wooten was registered with Andrew Garrett, Inc. 10/2002-8/2012. 

If you have questions about the way your brokerage account has been handled, call to speak with an experienced securities attorney. 

Nationwide representation


561 391 1900

Andrew Garrett Broker Harold DePrill Barred by FINRA

May 2014- Johns Island, SC

 Harold Lavern DePrill Jr. (CRD #1302318, Registered Principal, Johns Island, South Carolina) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, DePrill consented to the described sanction and to the entry of findings that he failed to appear for FINRA-requested testimony. DePrill’s counsel acknowledged receipt of the request and informed FINRA that DePrill would not appear for testimony. ( FINRA Case #2011029679502)

According to FINRA records, DePrill was registered with Andrew Garrett, Inc. from 11/2002-10/2012.

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