Glenn A. Moffitt of Henderson, NV, a former general securities representative with Cambridge Investment Research, Inc., was permanently barred from association with any FINRA-registered firm in all capacities after failing to appear for on-the-record testimony in connection with FINRA’s investigation into allegations that Moffitt converted $370,000 from a customer. FINRA Letter of Acceptance, Waiver, and […]
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Tag Archives: Glenn Moffitt
Former Cambridge Investment Research Broker Barred Obstructing Investigation
November 20, 2015 | Posted by : Guiliano Law Group | Elder Financial Abuse, Excessive Markups, FINRA Securities Arbitration, Investment and Regulatory News | 0 Comments
Cambridge Investment Research Representative Barred for Alleged Conversion
August 26, 2015 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments
Glenn A. Moffitt of Henderson, NV, a former general securities representative with Cambridge Investment Research, Inc., was permanently barred from association with any FINRA-registered firm in all capacities after failing to appear for on-the-record testimony in connection with FINRA’s investigation into allegations that Moffitt converted $370,000 from a customer. FINRA Letter of Acceptance, Waiver, and […]
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