July 2021- Boca Raton, FL
We are investigating Ameriprise Financial Services financial advisor Norman (Norm) Robbins.
According to publicly available records, Norm Robbins discloses a prior regulatory matter, 2 pending customer disputes and 4 prior customer disputes.
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 pending case 20-3422, a customer of Robbins’ former employer Summit Brokerage seeks damages of $100,000 and alleges an over concentration of real estate investments, commodity funds and energy stock.
In pending case 20-3318, a customer of Summit Brokerage seeks $100,000 in damages and alleges that Robbins made unsuitable investment recommendations related to limited partnerships, oil and gas investments and real estate securities.
Norm Robbins’ prior employment includes:
- Cetera Advisor Networks 9/2019-1/2020
- Summit Brokerage Services 2/2003-9/2019
If you suffered losses in an account handled by Norm Robbins, contact us to learn how you may be able to recover damages from his prior employer through FINRA arbitration.
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.
Florida-561 391 1900