Glenn Allen Moffitt (CRD #4767024, Henderson, Nevada) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity.
Without admitting or denying the findings, Moffitt consented to the sanction and to the entry of findings that he failed to appear for a FINRA on-the-record interview during its investigation into allegations that he converted at least $370,000 from an elderly customer.
For FINRA’s full findings, see Case #2014041600301.
According to his FINRA Broker Report, Moffitt was registered with Regal Securities from 03/2009 – 05/2011, with First Allied Securities from 05/2011 – 12/2012, with LPL Financial from 12/2012 – 12/2013, and with Cambridge Investment Research from 11/2013 – 09/2014.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee.
For a free consultation with a securities attorney, please call the firm’s Chicago office at 312/238-9650. For more information on the firm and its representation of investors, visit https://www.whitesecuritieslaw.com.