What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: August 4, 2016

Robert Rotunno, a former registered representative with National Securities, has received five customer complaints and one pending customer complaint. He has been accused of engaging in churning, making unsuitable investment recommendations, breaching fiduciary duty, breaching contract, misrepresenting material facts, using margin without authorization, acting negligently, churning accounts and engaging in misconduct involving commission, among other things that are against securities rules and regulations.

Rotunno was registered with American Investment Services in Oklahoma City, Oklahoma from October 1999 until May 2000, Murphy & Durieu in New York, New York from May 2000 until December 2000, Global Capital Securities Corp in Englewood, Colorado from January 2001 until March 2002, Sands Brothers & Co. in New York from April 2002 until August 2004 and Laidlaw & Co in New York from August 2004 until February 2016. He is currently registered with National Securities in New York and has been since January of this year. Please call our Chicago-based securities law firm at 312-332-4200 to speak to one of our attorneys about your options of suing National Securities in the FINRA arbitration forum to recover your losses. The firm may be responsible for them.

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If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

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