September 2019, Melville, NY
According to publicly available records Robert Paul Solow (CRD# 4532161) , a stockbroker who is not not registered and who last worked for Joseph Gunnar & Co. , disclose a pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In March of 2018, FINRA case #18-001954 was filed by a customer of Trident Partners, alleging unsuitable transactions and seeking damages of $370,486. That case is still pending.
Robert Solow was employed with Joseph Gunnar & Co from October 2016 until December 2017. He was with Aegis Capital Corp. from December 2015 until March of 2016. Before that time he was with Worden Capital Management, J.D. Nicholas & Associates, Rockwell Global Capital and Trident Partners, LTD.
If you have questions about an investment account handled by Robert Paul Solow, contact us for a no charge consultation to learn about your legal options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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