February 23, 2015
James Rosebrough entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in outside business activities without providing notice to his employer member firm, in violation of FINRA Rules 3270 and 2010.
Rosebrough was suspended for thirty days and fined $5,000.
According to FINRA records Rosebrough was previously registered with Securities America and LPL Financial in Gilbert, Arizona.
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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