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Port Orange Florida Stock Broker Sanctioned by FINRA

Port Orange Florida Stock Broker Sanctioned by FINRA 150 150 Rex Securities Law

July 24,  2015- Port Orange, Florida

Dennis Ray Roberts  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed money from an elderly customer of his at Woodbury Financial in violation of FINRA Rules 3240 and 2010.

AWC No. 2014041148701

Roberts  was  suspended for two months.

According to FINRA records, Roberts was registered with Woodbury Financial Services  from 11/2002-10/2014.

Woodbury Financial Services has been a FINRA member since 1968 and is headquartered in Oakdale, Minnesota. It has over 1,400 brokers in over 1,000 branch offices nationwide.

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

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