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Warren Rowe Formerly With Oppenheimer & Co. Has 8 Customer Complaints For Alleged Broker Misconduct

Who is Warren Rowe formerly with Oppenheimer & Co.?

Warren Rowe (CRD #1065880) who was formerly registered with Oppenheimer & Co. and located in Richmond, Virginia is a subject of one of our many securities industry sales practice abuse investigations.

Warren Rowe Customer Complaints

Warren Rowe has been the subject of 8 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses.  One of Warren Rowe’s 8 customer complaints resulted in an arbitration award in favor of the investors. Two of Warren Rowe’s 8 customer complaints were settled in favor of investors. Four of Warren Rowe’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Oppenheimer & Co. for investment losses caused by Warren Rowe’s alleged misconduct.

Allegations Against Warren Rowe

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

  • Client alleged Warren Rowe recommended unsuitable securities.
  • Client claims that her margin use, margin interest and transactions were inappropriate allegedly made by Warren Rowe.
  • Client alleged that Warren Rowe took loan from the client, and it has not been repaid.
  • Customer alleged in writing that Warren Rowe made unsuitable managed account recommendations.
  • Customer alleged Warren Rowe recommended an unsuitable outside money manager causing losses in his client’s account.
  • Excessive trading allegedly by Warren Rowe.

Warren Rowe Red Flags & Your Rights As An Investor

Of course, Warren Rowe 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 Warren Rowe at Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Warren Rowe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. 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 Oppenheimer & Co. Due To Warren Rowe

If you have questions about Oppenheimer & Co. and/or Warren Rowe 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 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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