Tigress Financial Partners Financial Advisor, Robert Rotunno, Has Eleven Customer Complaints
Robert N. Rotunno is a Financial Advisor at Tigress Financial Partners, LLC in New York. Robert Rotunno has been in the securities industry since 1999 and previously worked at National Securities Corporation, Laidlaw & Company, Sands Brothers & Co., Global Capital Securities Corporation, Murphy & Durieu and American Investment Services, Inc.
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Robert Rotunno is the subject of eleven customer complaints, including the following:
- March 2019 – “SUITABILITY.” Alleged damages are $150,000.
- December 2018 – “Client alleges unsuitability and excessive trading from 2012-2016.” Alleged damages are $558,624.
- August 2018 – “Client alleges unsuitability and excessive trading from 2008 to 2016.” Alleged damages are $228,128.47.
- May 2017 – “Client alleges unsuitability and over concentration from 2007 to 2010.” The matter settled for $128,750.
- April 2017 – “The client alleges unsuitability and excessive trading from 2010 to 2015.” The matter settled for $65,000.
- July 2016 – “Client alleges churning and unsuitability from January 2010 to December 2015.” The matter settled for $20,000.
- January 2014 – “THE CLIENT ALLEGES THE REPRESENTATIVE MADE UNSUITABLE RECOMMENDATIONS FROM 2006 TO 2012.” The matter settled for $325,000.
- April 2008 – “CLIENT THROUGH COUNSEL HAS MADE ALLEGATIONS OF UNAUTHORIZED TRADING, UNAUTHORIZED USE OF MARGIN AND UNSUITABILITY.” The matter settled for $22,500.
For a copy of Robert Rotunno’s CRD, click https://brokercheck.finra.org/individual/summary/4025263.
Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.
The Wolper Law Firm represents investors nationwide in securities litigation and arbitration on a contingency fee basis. Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities. Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters. We can be reached at 800.931.8452 or by email at firstname.lastname@example.org.
- Former Forest Securities Broker, Jeffrey Scott Nimmow, Barred By FINRA For Engaging In The Sale Of Woodbridge Notes Without Firm Approval
- Former Moors & Cabot Broker, David Gray Dalton, Suspended By FINRA For Exercising Discretionary Trading Authority Without Customer Authorization
- Former Vestech Securities Broker, Randy T. Carpen, Barred By FINRA For Failure To Cooperate Into Investigation Of Alleged Excessive Trading
- Former Van Clemens Broker, Peter D. Monson, Suspended Six Months By FINRA For Alleged Excessive And Unsuitable Trading
- The Wolper Law Firm Files $1 Million FINRA Arbitration Claim Against Lighthouse Capital Group Based On The Recommendations Of Financial Advisors, Rena Morris And Stephen Holt
- Former National Securities Corp. Broker, Jason Hawke, Has Eight Customer Complaints, Two Employment Terminations And A Regulatory Sanction
- Former Valic Financial Advisors Broker, Antonio Gutierriez Puente, Barred By FINRA For Failing To Cooperate In Investigation Into Whether He Engaged In Private Securities Transaction
- Cetera Advisor Networks Broker, Victor Rigoni, Has Six Disclosed Customer Complaints, Including Two Pending And Three Settled Complaints
- Investors In Market Linked Notes And Steepener Notes Continue To Experience Loss Of Principal And Income
- Investors In Market Linked CDs Continue To Experience Loss Of Principal And Income