In January 2014 the Financial Industry Regulatory Authority fined Mt. Dora, FL, broker Daniel Padgett Johnson $5,000 and suspended him for 30 days to resolve allegations that he engaged in outside business activities without providing written notice to the firms ge worked for. Approximately one month after Johnson began working at the firm he established a company through which he performed insurance and business consulting as CEO and failed to notify his firm in writing. Upon learning of the undisclosed business activity, the firm terminated Johnson.
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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TollFree: 877-224-3199
Florida-561 391 1900
Texas-512-329-2870