DID PAOLO DIEGO ROCCA CAUSE YOU INVESTMENT LOSSES?
Paolo Rocca Of Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors And Formerly With Strategic Advisers Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Paolo Rocca of Fidelity Brokerage Services?
Paolo Rocca (CRD #2326803) who is currently registered with Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Paolo Rocca was associated with Strategic Advisers and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Paolo Rocca Customer Complaints
Paolo Rocca has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Paolo Rocca’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Fidelity Brokerage Services for investment losses caused by Paolo Rocca’s alleged misconduct.
Allegations Against Paolo Rocca
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Customer alleged that she instructed Paolo Rocca to deposit a check to her core cash account, but instead it was invested in an annuity without her knowledge.
- The customer alleged that he incurred a significant tax liability as a result of the liquidation of holdings to fund a managed account, contrary to the representations made by Paolo Rocca.
Paolo Rocca Red Flags & Your Rights As An Investor
Of course, Paolo Rocca 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 Paolo Rocca at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors and Strategic Advisers on alert to review carefully the activity and performance of their accounts and question whether Paolo Rocca has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors and Strategic Advisers also raises questions about the brokerage firms’ 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 Fidelity Brokerage Services Due To Paolo Rocca
If you have questions about Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Strategic Advisers, and/or Paolo Rocca and 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.