August 18, 2015- Henderson, Nevada
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 failed to appear for an on the record interview in connection with a FINRA investigation into allegations that he converted at least $370,000 from an elderly customer.
Moffitt was barred from the securities industry.
According to FINRA records, Moffitt was registered with Cambridge Investment Research from 11/2013-9/2014. He was terminated by Cambridge Investment Research 9/2014 because he “accepted funds from a client for personal use without firm consent”. Moffitt was previously registered with LPL Financial
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.
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