Bob Boschke Investigation
April 2024- St. Germain, WI
The FINRA records of Robert “Bob” Boschke, a stockbroker previously employed by CFD Investments, Inc. and LPL Financial disclose two regulatory actions and 3 terminations from employment. He is not currently registered with FINRA.
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 1/2023 FINRA suspended Boschke for 30 days and fined him $5,000 to resolve allegations that he impersonated a former customer of his member firm in calls with an annuity company to facilitate transfer of the former custoemr’s annuity.
In April 2022, Boschke was permitted to resign from CFD Investments to resolve allegations that he had engaged in an arrangement with a client at his prior firm wherein he received an automobile from the client in exchange for agreeing to provide ongoing advisory services, without approval of the prior firm, and without disclosure to CFD that ongoing services were to be provided after Boschke came on board with CFD.
In February 2021, Boschke was permitted to resign from Wealth Management Group to resolve allegations that while employed with his previous employer, LPL Financial, he represented himself as a former client during a call with annuity company in order to obtain an account statement for processing a divorce settlement transfer of a variable annuity.
In January 2021, Boschke was discharged from LPL Financial after representing himself as a former client during a call with annuity company to obtain an account statement for processing a divorce transfer related to a variable annuity.
Prior employment includes Raymond James Financial Services, Primevest Financial Services, Inc., Uvest Financial Services and Focused Investment Services.
If you have questions about an account handled by Bob Boschke , contact us for a no charge consultation to learn how you may be able to recover damages 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, at no cost to you.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Nationwide Representation
TollFree: 877-224-3199
Florida-561 391 1900
Texas-512-329-2870
