Category Archives: Tigress Financial Partners

Robert Rotunno-Laidlaw/Tigress Financial Broker-Subject of Numerous Customer Suits Over Private Placements-New York

May 2019 – New York

According to publicly available records, former Laidlaw & Company financial advisor Robert N. Rotunno discloses 3 pending and 8 prior customer disputes most of which allege the sale of unsuitable private placement investments.

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.

The pending customer suits involving Rotunno include:

  • FINRA Case 19-614 in which a customer of National Securities Corp. seeks damages of $150,000 for unsuitable investments.
  • FINRA Case 18-3992 in which a customer of Laidlaw & Co. seeks damages of $558,624 for unsuitable investments and excessive  trading in private placements.
  • FINRA Case 18-2628 in which a customer of Laidlaw & Co. seeks damages of $228,128 for unsuitable recommendations and excessive trading  in private placements and equities.

In the prior 8 customer disputes nearly $700,000 was paid to Rotunno’s customers to resolve allegations of unauthorized trading, unauthorized use of margin, unsuitable recommendations and account churning.

Robert Rotunno  was with Laidlaw & Company from 8/2004-2/2016. He is currently registered with Tigress Financial Partners.

If you have losses on private placement investments or other unsuitable investments in an account handled by Robert Rotunno, call 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

George B. Medina-CV Brokerage Inc Broker-Discloses Termination From Employment-New York

May 2017-New York

The FINRA records of  George B. Medina ,  a  stockbroker who is currently registered with CV Brokerage Inc. disclose a termination from employment and outstanding judgment/liens .

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 June 2016 Medina was ‘permitted to resign’ from Tigress Financial Partners who made the following allegation on his FINRA record: “The individual failed to disclose to the firm a personal tax lien and a counterclaim in an associated persons vs. Member arbitration”.

Medina discloses tax liens to the IRS and the State of New York, several of which he is currently disputing.

Medina has been employed by CV Brokerage  since 7/2016. He was employed by Tigress Financial Partners from 3/2015-7/2016, Wallachbeth Capital 5/2014-9/2014 and GFI Securities 9/2013-9/2014.

If you have losses in an account in an account handled by Todd F. Sherman , 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Todd F. Sherman-Fusion Analytics Securities Broker-Discloses Customer Dispute-Coral Springs, FL

April 2017-Coral Springs, FL

The FINRA records of  Todd F. Sherman ,  a  stockbroker who is currently registered with Fusion Analytics Securities 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 currently pending FINRA arbitration 15-01312 a customer of R.F. Lafferty & Co.  is seeking damages of $250,000 and alleges churning, breach of fiduciary duty, fraud and Section 10b 5 violations.

Sherman has been employed by Fusion Analytics Securities since 3/2013. Prior to that he was employed by Tigress Financial Partners, Seton Securities Group and before that R.F. Lafferty & Co.

If you have losses in an account in an account handled by Todd F. Sherman , 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870