Articles Posted in David Rockwell

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Rockwell (Rockwell), previously associated with Cetera Advisor Networks LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Rockwell recommended unsuitable investments in different investment products including debt…

The law offices of Gana Weinstein LLP are currently investigating claims that advisor David Rockwell (Rockwell) was discharged by his employer after being accused of misappropriating client funds.  According to BrokerCheck records, Rockwell is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Cetera Advisor Networks LLC (Cetera). …