July 20, 2015- San Antonio, Texas
Andrew Joseph Thomas , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to amend his FINRA reporting to disclose the receipt of a target letter from the Bexar County Texas District Attorney notifying him that he was the target of a Grand Jury investigation involving potential insurance fraud, in violation of FINRA Rules.
AWC No. 2015044822901
Thomas was fined $5,000 and suspended for six months.
According to FINRA records, Thomas was registered with Advisors Asset Management from 6/2014-3/2015.
Advisors Asset Management has been a FINRA member since 1999 and is headquartered in Monument, Colorado.
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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