Financial Advisor David A. Rockwell, Cetera Advisor Networks, Fort Myers, FL
FINRA Reportedly Suspends Advisor David A. Rockwell
Are you concerned about investments with David A. Rockwell in Fort Myers, FL? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim.
According to public records on the Financial Industry Regulatory Authority’s website, the regulator reportedly suspended Rockwell on December 16, 2019 from associating with any FINRA member firm in all capacities. If Rockwell fails to request termination of the suspension within three months of the date of the Notice of Suspension, he will reportedly be automatically barred on February 25, 2020, according to FINRA.
According to his broker profile, Rockwell was reportedly registered with Cetera Advisor Network in Fort Myers, FL from 2015 until he was allegedly terminated in 2018. Rockwell reportedly has two customer complaints on his broker report. Allegations include forgery, fraud and misappropriation of customer funds “to invest in a private security related to a company owned by Mr. Rockwell.”
Securities Fraud Lawsuits
The White Law Group is investigating potential securities fraud lawsuits regarding the liability that Rockwell’s employers may have for failure to properly supervise him.
When brokers violate securities laws, such as making misrepresentations or recommending unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee.
We represent investors in FINRA arbitration claims in all 50 states including Florida. Our attorneys have recovered millions of dollars from many brokerage firms in the past.
If you are concerned about your investments with David A. Rockwell, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.
For more information on The White Law Group, and its representation of investors, please visit www.WhiteSecuritiesLaw.com.