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 .
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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