David Rockwell – Customer Disputes Filed Involving Financial Advisor/Broker David Rockwell

David Rockwell – Customer Disputes Filed Involving Financial Advisor/Broker David Rockwell | Goodman & Nekvasil P.A., May Recover Investor Losses

David Rockwell Financial Advisor/Broker CRD #4236377 aka David Aaron Rockwell

David Rockwell was a formerly licensed financial advisor with Cetera Advisor Networks LLC and SunTrust Investment Services, Inc. According to David Rockwell’s CRD, David Rockwell was discharged from Cetera Advisor Networks LLC in November 2018. Cetera Advisor Networks LLC reported to FINRA that David Rockwell was terminated after David Rockwell allegedly notified the Firm that David Rockwell had been charged with a felony.

According to David Rockwell’s CRD, two customer disputes were filed alleging sales practice violations against David Rockwell.

Customer Dispute 7/12/19: Clients allege David Rockwell was involved in forgery and fraud regarding their accounts. This customer dispute is pending and seeks $700,000 in damages.

Customer Dispute 6/26/19: Client alleges that David Rockwell misappropriated money from David Rockwell’s investment accounts to invest in a private security related to a company owned by David Rockwell. This customer dispute is pending and seeks $500,000 in damages.

If you lost money on investments with David Rockwell  and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against concerning David Rockwell’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with David Rockwell and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.  

David Rockwell, Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange, David Rockwell

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