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Former Andrew Garrett Broker Pamela Wooten Barred by FINRA

Former Andrew Garrett Broker Pamela Wooten Barred by FINRA

Former Andrew Garrett Broker Pamela Wooten Barred by FINRA 150 150 Rex Securities Law

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. 

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