May 2016- San Francisco
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.
According to FINRA records, Rocco A. Cortese discloses a pending customer dispute. In FINRA Case 15-0447, a customer alleges that while Cortese was registered withSigma Financial Corporation he made misrepresentations , committed fraud and was negligent in connection with the sale of a tenant in common (TIC) investment. Damages are alleged to be $861,000.
According to FINRA records, Cortese is not currently registered. He was registered with Concorde Investment Services from 12/2011-12/2015. Prior to that he was registered with Orchard Securities from 5/2011-10/2011 and before that with Omni Brokerage from 4/2005-4/2011.
If you have losses in an account handled by Rocco A. Cortese, contact us 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.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900