DID DAVID AARON ROCKWELL CAUSE YOU INVESTMENT LOSSES?
David Aaron Rockwell formerly with Cetera Advisor Networks LLC Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years
Who is David A. Rockwell formerly with Cetera Advisor Networks LLC?
David Rockwell (CRD #4236377) who was formerly registered with Cetera Advisor Networks LLC and located in Fort Myers, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks LLC, David Rockwell was associated with Suntrust Investment Services, Inc. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
David Rockwell has had his share of regulatory problems. In July 2015, it was alleged by the Florida Office of Financial Regulation that he made material false statement on his application for registration. Last year, David Rockwell failed to respond to a FINRA request for information in one of its investigations and he was initially suspended and then permanently barred in all capacities from any further employment by a FINRA member firm in the securities industry.
Cetera Advisor Networks, LLC Broker Misconduct
In his career, David Rockwell has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last 2 years to recover investment losses. One of David Rockwell’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against David Rockwell’s former employer Cetera Advisor Networks LLCfor investment losses caused by his alleged misconduct.
Allegations Against David Rockwell
A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:
- Client alleged that David Rockwell misappropriated money from his investment accounts to invest in a private security related to a company-owned by him. The complaint was settled for $215,000 by his former employer, Cetera Advisor Networks, LLC.
- Claimants alleges that David Rockwell obtain loans in their name was secured by their brokerage accounts without there are authorization.
- Client’s alleged that David Rockwell was involved in forgery and fraud regarding their accounts.
David Rockwell Red Flags & Your Rights As An Investor
Of course, David Rockwell did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of David Rockwell at Cetera Advisor Networks LLC and Suntrust Investment Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Rockwell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks LLC in such a short period also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At Cetera Advisor Networks LLC
If you have questions about Cetera Advisor Networks LLC, Suntrust Investment Services, Inc. and/or David Rockwell and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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