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Former LPL Financial Broker Robert L. Drew Barred by FINRA

Former LPL Financial Broker Robert L. Drew Barred by FINRA

Former LPL Financial Broker Robert L. Drew Barred by FINRA 150 150 Rex Securities Law

In June 2014, the Financial Industry Regulatory Authority (FINRA) barred former LPL Financial stockbroker Robert Lee Drew of Janesville, Wisconsin, for failing to appear for an on-the-record interview in connection with FINRA’s investigation of potentially unsuitable trading in the accounts of some of Drew’s customers.

According to FINRA records, Drew was discharged from LPL Finanical, where he had worked since 08/1997,  for “violation of firm policy with respect to mutual fund trading”.

If you had an account with Drew that suffered losses, call to discuss how you may be able to recover damages through FINRA arbitration.

Rex Securities Law provides nationwide representation to investors 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.

Rex Securities Law

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