September 21, 2015- Cape Coral, Florida
Edward K. Roos , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2009 to April 2014 Roos engaged in an outside business activities (RFG Payment Advances & 1617 Santa Barbara Blvd.) without providing written notice or obtaining approval from the firms he worked for in violation of NASD and FINRA Rules.
Roos was fined $1,000 and suspended from association with any FINRA member for two months.
According to FINRA records, Roos was registered with LPL Financial from 4/2011-5/2014 and prior to that with Essex National Securities from 3/2010-3/2011. He is currently registered with Calton & Associates.
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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