Robert Pearlman Investigation
October 2021-Boca Raton, FL
According to publicly available records Robert Dennis Pearlman, a former stockbroker who was previously registered with National Securities Corporation, disclose 2 currently pending 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 May of 2021, in FINRA case #21-01111, a National Securities Corp. customer alleges suitability with alleged damages of $75,000. This case is pending.
In March of 2000 a Gruntal & Co. customer alleged that funds were invested without her knowledge and a loss was incurred. This case is still pending.
Robert Dennis Pearlman was employed by National Securities Corporation from 11/2013-2/2021. Before that time he was with Prime Capital Services Inc., Janney Montgomery Scott and Gruntal & Co.
If you suffered losses in an account handled by Robert Dennis Pearlman, you may be able to collect damages from his prior employer. Call for a no charge consultation with an experienced securities attorney to discuss your 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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