Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 9, 2019 indicate that Michigan-based Stifel Nicolaus & Company broker/adviser Robert Rubarth was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rubarth (CRD# 2315888).
Robert Rubarth has spent twenty-five years in the securities industry and has been registered with Stifel Nicolaus & Company in Shelby Township, Michigan since November 2018. Previous registrations include Raymond James & Associates in Clinton Township, Michigan (2012-2018); Ameriprise Financial Services in Shelby Township, Michigan (2009-2012); Ameriprise Advisor Services in Shelby Township, Michigan (1994-2009); Equico Securities in New York, New York (1993-1994); and the Equitable Life Assurance Society of the United States in New York, New York (1993-1994). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 1, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 9, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on July 29, 1994; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 5, 1993; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on October 8, 1999; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on October 8, 1999. He is a registered broker and investment adviser with eleven US states and territories: Alabama, Arizona, Arkansas, California, Illinois, Indiana, Iowa, Michigan, Missouri, Ohio, and Tennessee. He is registered with seven self-regulatory organizations (SROs): Cboe BZX Exchange Inc., FINRA, NYSE American LLC, Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he was recently discharged from a former employer in connection to alleged rule violations.
In October 2018 he was terminated from his position at Raymond James & Associates in connection to allegations involving “the nature” of his unit investment trust activity.
If you or someone you know has a complaint regarding Robert Rubarth, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.