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Andre Vincent Labarbera formerly with Titus Rockefeller, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year

Who is Andre V. Labarbera formerly with Titus Rockefeller, LLC?

Andre Labarbera (CRD #2072370) who was formerly registered with Titus Rockefeller, LLC and located in Dix Hills, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Titus Rockefeller, LLC, Andre Labarbera has associated with10other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Not only has Andre Labarbera’s former employers had multiple regulatory problems but he has been the subject of 2 regulatory events as well. In fact, he has been permanently barred in the State of Florida for allegedly engaging in unsuitable customer transactions, churning customer accounts, trading customer accounts on margin without margin agreements, and engaging in fraudulent transactions. 

Andre Labarbera has also been permanently barred from association with any FINRA member firm in any capacity for excessively trading or churning customer accounts after hearing on the merits, and an appeal that upheld the initial administrative decision.

Titus Rockefeller, LLC Broker Misconduct

In his career, Andre Labarberahas been the subject of 6 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Four of Andre Labarbera’s 6 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Andre Labarbera’s former employer Titus Rockefeller, LLC for investment losses caused by his alleged misconduct.

Allegations Against Andre Labarbera  

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • The claimant alleged churning, unsuitable investment recommendations, breach of fiduciary duty, common law fraud, breach of contract, and unauthorized trading.
  • Misrepresentation in connection with investment recommendations of the exchange-traded funds.
  • Misrepresentation and omission of material facts connection with penny stock transactions.
  • The claimant alleges unsuitability, overconcentration, churning, breach of fiduciary duty, and fraudulent misrepresentations in connection with common stock transactions.

Andre Labarbera Red Flags & Your Rights As An Investor

Of course, Andre Labarbera did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Andre Labarbera at Titus Rockefeller, LLC on alert to review carefully the activity and performance of their accounts and question whether Andre Labarbera has engaged in any stockbroker misconduct that may have caused them investment losses.

A large number of customer complaints at Titus Rockefeller, LLC also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim to Recover Your Investment Losses At Titus Rockefeller, LLC  

If you have questions about Titus Rockefeller, LLC and/or Andre Labarberaand the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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