Securities Lawyers Blog
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). In addition, Rockwell disclosed two customer complaints related to misappropriating funds. If you have been a victim of Rockwell’s alleged misconduct our firm may be able to assist you in recovering funds.
Rockwell also discloses multiple criminal events, firm terminations, and one regulatory event. In May 2013 Rockwell discloses a guilty plea for assault and battery along with operating while intoxicated. Then in November 2018 Rockwell was accused of aggravated stalking.
In July 2015 the State of Florida accused Rockwell of making material false statement on the application for registration and denied his securities registration in the state.
In June 2019 a customer complained that Rockwell violated the securities laws by alleging that Rockwell misappropriated money from his investment accounts to invest in a private security related to a company owned by Rockwell. The claim alleges $500,000 in damages and settled for $215,000.
In July 2019 a customer complained that Rockwell violated the securities laws by alleging that Rockwell was involved in forgery and fraud regarding their accounts. The claim alleges $700,000 in damages and is currently pending.