July 24, 2015- Port Orange, Florida
Dennis Ray Roberts , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed money from an elderly customer of his at Woodbury Financial in violation of FINRA Rules 3240 and 2010.
AWC No. 2014041148701
Roberts was suspended for two months.
According to FINRA records, Roberts was registered with Woodbury Financial Services from 11/2002-10/2014.
Woodbury Financial Services has been a FINRA member since 1968 and is headquartered in Oakdale, Minnesota. It has over 1,400 brokers in over 1,000 branch offices nationwide.
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