Stoltmann Law Offices is investigating former broker Warren Rockmacher, who has received three customer complaints, one pending customer complaint and two regulatory sanctions, according to the Financial Industry Regulatory Authority (FINRA). Before he was barred from the industry in May 2016, he was terminated from his broker position and Investacorp, following allegations he failed “to notify the firm regarding outstanding legal matters as required under contract.” He also allegedly made unsuitable trades, made misrepresentations of material facts in connection to an investment in an annuity product, and committed fraudulent activity, which caused funds to be missing. These are all against securities rules and regulations, and his former firm, Investacorp, can be sued in the FINRA forum on a contingency fee basis to recover those investment losses. We are Chicago-based attorneys who bring claims against firms like Investacorp. Please call today. The call is free with no obligation.
Mr. Rockmacher was previously registered with The Equitable Life Assurance Society of the United States, Equico Securities, GR Phelps & Co., MML Investors Services, Scudder Investors Services, Putnam Retail Management United Partnership, Sun Life of Canada Distributors, CCO Investment Services Corp, Banc of America Investment Services, Citicorp, Citigroup, Chase Investment Services, and Investacorp in Trumbull, Connecticut from April 2012 until April 2016. He has nine customer disputes against him, one of which is currently pending. He has been permanently barred from the industry.
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