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DID ROBERT NICHOLAS ROTUNNO CAUSE YOU INVESTMENT LOSSES?

Robert Nicholas Rotunno with Worden Capital Management LLC Has 11 Customer Complaints For Alleged Broker Misconduct

Who is Robert N. Rotunno with Worden Capital Management LLC?

Robert Rotunno (CRD #4025263) who is currently registered with Worden Capital Management LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Worden Capital Management LLC, Robert Rotunno was associated with Tigress Financial Partners, LLC, National Securities Corporation and Laidlaw & Company (UK) Ltd., and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Laidlaw and Co. And National Securities Corporation Broker Misconduct

In his career, Robert Rotunno has been the subject of 11 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. All of Robert Rotunno’s 11 customer complaints or settled by Laidlaw and Co., or National Securities Corporation in favor of investors.

Allegations Against Robert Rotunno

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

  • Client alleges unsuitable investment recommendations to invest in common stock and private placements.
  • Multiple clients in separate arbitration proceedings alleged unsuitable investment recommendations to purchase private placement investments.
  • Multiple clients in separate arbitration proceedings alleged excessive trading and unsuitable investment recommendations and strategies.

Robert Rotunno Red Flags & Your Rights As An Investor

Of course, Robert Rotunno 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 Robert Rotunno at Worden Capital Management LLC, Tigress Financial Partners, LLC, National Securities Corporation and Laidlaw & Company (UK) Ltd. on alert to review carefully the activity and performance of their accounts and question whether Robert Rotunno has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities Corporation and Laidlaw & Company (UK) Ltd. also raises questions about their 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 Worden Capital Management LLC, National Securities Corporation, and Laidlaw and Co. (UK) LTD. 

If you have questions about Worden Capital Management LLC, Tigress Financial Partners, LLC, National Securities Corporation, Laidlaw & Company (UK) Ltd. and/or Robert Rotunno 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.

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Robert Wayne Pearce

Robert Wayne Pearce has been a trial attorney for more than 40 years and is the founding partner of The Law Offices of Robert Wayne Pearce. You can learn more about Robert and his accomplishments by clicking here.

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