Glenn Allen Moffitt, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for on-the-record testimony in connection with a FINRA investigation into allegations that he converted at least $370,000 from an elderly customer.
By virtue of such conduct, Moffitt violated FINRA Rules 8210 and 2010.
Moffitt was barred from the securities industry. According to FINRA records, Moffitt was registered with Cambridge Investment Research in Henderson, NV, from 11/2013-9/2014. Prior to that he was registered with LPL Financial from 12/2012-12/2013. Before that he was registered with First Alled Securities from 5/2011-2012.
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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