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Former Cambridge Investment Research Broker Barred From Industry In Connection Alleged Theft of Funds

Former Cambridge Investment Research Broker Barred From Industry In Connection Alleged Theft of Funds

Former Cambridge Investment Research Broker Barred From Industry In Connection Alleged Theft of Funds 150 150 Rex Securities Law

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.

AWC No.2014041600301

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.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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