July 20, 2015
Andrew Joseph Thomas of Boerne, Texas, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to amend his Uniform Application for Securities Registration or Transfer to disclose the receipt of a target letter from the District Attorney in Bexar County, Texas, notifying him that he was the target of a Grand Jury investigation involving potential insurance fraud.
Thomas was fined $5,000 and suspended for six months. According to FINRA records he was registered with Advisors Asset Management from 6/2014-3/2015. Prior to that he was employed by Accenture in San Antonio.
Advisors Asset Management (AAM) was established in 1979 and was formerly known as Fixed Income Securities. AAM has 10 major offices.
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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