Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 23, 2016 indicate that former Connecticut-based Investacorp broker Warren Rockmacher has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rockmacher (CRD# 2005652).
Warren Rockmacher has spent 21 years in the securities industry and was most recently registered with Investacorp in Trumbull, Connecticut. Previous registrations include Chase Investment Services in Westport, Connecticut; Citigroup Global Markets in Norwalk, Connecticut; Banc of America Investment Services in Milford, Connecticut; CCO Investment Services in Dedham, Massachusetts; Sun Life of Canada Distributors in Wellesley Hills, Massachusetts; Putnam Retail Management Limited Partnership in Boston, Massachusetts; Scudder Financial Services in Boston, Massachusetts; Scudder Investor Services in New York, New York; MML Investors Services in Springfield, Massachusetts; GR Phelps & Company; Equico Securities in New York, New York; and the Equitable Life Assurance Society of the United States in New York, New York. He is currently not registered with any state or firm.
According to his BrokerCheck report, Warren Rockmacher has received three customer complaints and one regulatory sanction, and is the subject of a pending regulatory investigation.
In May 2016, FINRA sanctioned Warren Rockmacher following allegations he failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request for information regarding the status of compliance. He was suspended from associating with any FINRA member firm in any capacity.
In March 2016, FINRA named Warren Rockmacher in an investigation into allegations concerning unspecified “representative activities.” The investigation remains pending.
In April 2016, Warren Rockmacher was terminated from his position at Investacorp following allegations that he failed to notify the firm regarding an outstanding legal matter.
In May 2015, a customer alleged Warren Rockmacher, while employed at Investacorp, recommended unsuitable investments. The complaint settled in in November 2015 for more than $7,800.
In 2012, a customer alleged Warren Rockmacher, while employed at Chase Investment Services, misrepresented material facts related to an annuity investment. The complaint settled in 2013 for $16,000.
In 2007, a customer alleger Warren Rockmacher, while employed at Banc of America Investment Services, engaged in “fraudulent behavior” that resulted in missing funds. The complaint settled for more than $17,900.
If you have lost money investing with Warren Rockmacher, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.