In March 2015, Daniel Gregory Retzke entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that during the course of an investigation into allegations that Retzke solicited a loan from a firm customer and sold private securities offerings away from the firm, he refused to respond to FINRA’s request for documents and information in violation of FINRA Rules 8210 and 2010.
Retzke was barred from the securities industry.
FINRA Case # 20140434401
In August 2015 a customer of Retzke filed a complaint alleging that he recommended the purchase of various limited partnerships and private placements with resulted in losses. That matter was settled for $121,188.
According to FINRA records, Retzke was registered with Edward Jones from 1/1992-11/2014.
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