Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Romain (Romain), currently associated with Corecap Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Romain recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $202,145.70 on April 01, 2025.
Due to a family emergency, Rep was called away from the office and was not able to purchase shares of stock requested by the clients on the requested day resulting in a financial loss when the share price rose. Despite best efforts to mitigate the financial loss on the following day by purchasing and selling the stock for a profit, the clients still experienced a financial loss sought financial compensation via the firm’s E&O policy.