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Rockwell Global Capital Broker Fined and Suspended by FINRA

Rockwell Global Capital Broker Fined and Suspended by FINRA

Rockwell Global Capital Broker Fined and Suspended by FINRA 150 150 Rex Securities Law

By Robert H. Rex, Esq. 

In March 2014 the Financial Industry Regulatory Authority fined Roswell, Georgia, broker Denny P. Darmodihardjo $2,500 and suspended him for one month upon findings that he failed to disclose on regulatory documents the material fact that he had an outstanding federal tax lien. 
 
According to FINRA records, which may be accessed hereDarmodihardjo has a number of customer complaints and other disclosure events and has been registered with Rockwell Global Capital LLC, which is headquartered in Melville, NY, since 12/2006.
 
If you have questions about the way your brokerage account has been handled, call to speak with an experienced securities attorney. 
 
Nationwide representation.
 
 
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