The law offices of Gana Weinstein LLP recently filed a complaint with the Financial Industry Regulatory Authority (FINRA) on behalf of a former NFL athlete alleging that the brokerage firm Resource Horizons Group LLC (Resource Horizons) failed to supervise Robert Gist (Gist), one of the firm’s associated persons. The claimant…
Robert Gist (Gist) was recently fined $5.4 million by the Securities and Exchange Commission (SEC) and barred from association with any broker-dealer by the Financial Industry Regulatory Authority (FINRA). Gist has been accused by both regulators of converting the funds of at least 30 customers in order to pay personal…
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