Robert DelGuercio of Herbert J. Sims & Co. Inc., Barred from Securities Industry | Goodman & Nekvasil P.A, May Recover Investor Losses
From 2012 until 2017, Robert Del Guercio was licensed with Herbert J. Sims & Co. Inc.
FINRA brought a disciplinary action against Robert Del Guercio in 2017. Robert Del Guercio consented to a bar from the securities industry. Robert Del Guercio consented to the entry of findings that Robert Del Guercio refused to appear for FINRA requested on-the-record testimony related to an arbitration claim filed by Robert Del Guercio’s customers alleging sales practice violations.
FINRA reports three customer complaints against Robert Del Guercio alleging sales practice violations involving, but not limited to, unsuitable investments, fraud, unauthorized trading, churning, negligence and breach of fiduciary duty. The claims were settled for as high as $155,000.
If you lost any money on investments with Robert Del Guercio, you may be able to recover your losses from Herbert J. Sims & Co. Inc. This is because Herbert J. Sims & Co. Inc. had a duty to supervise Robert Del Guercio.
If you lost money on investments with Robert Del Guercio and believe that 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 Herbert J. Sims & Co. Inc. Concerning Robert Del Guercio’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.
Goodman & Nekvasil, P.A. has recovered more than $170 million on behalf of victimized investors. If you lost money on any investments with Robert Del Guercio 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.