(888) 637-5510

Written by 12:49 pm Blog, Securities Fraud Articles

Terrence Thomas Alexander barred from FINRA

According to FINRA, Terrence Thomas Alexander was recently barred from FINRA and from associating with any FINRA member firm.

The sanction was based on findings that Alexander borrowed $29,000 from a firm customer contrary to his member firm’s compliance manual which prohibited financial advisors from borrowing from customers other than relatives. The findings further stated that Alexander failed to repay the loan.

This is not the first time that Terrence Thomas Alexander has been the subject of a securities fraud claim. According to his FINRA Broker Report, Terrence Thomas Alexander has been the subject of at least one other regulatory event and has also been named in an arbitration/customer complaint alleging that Alexander failed to disclose fees.

If you have questions about investments you made with Terrence Thomas Alexander or Chicago Investment Group, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help. To speak to a securities attorney, please call our Chicago office at 312-238-9650 for a free consultation.

The White Law Group is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.

For more information on The White Law Group, visit https://whitesecuritieslaw.com.

Tags: , , , , , , , , , , , , , , , , , Last modified: December 6, 2022