January 25, 2016- Lubbock, Texas
Tony L. Robertson , formerly a broker with Caprock Securities was permanently barred from the securities industry, for failing to respond to FINRA request for information. according to FINRA records. Case # 2015046415002.
Robertson was permitted to resign from Caprock Securities in July 2015 after she lost a lawsuit brought by former clients who were awarded $400,000 for retirement fund losses. Caprock was jointly and severally liable for the verdict which created a capital deficiency leading to Caprock Securities ceasing business in November 2015.
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.
Florida-561 391 1900