Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 14, 2016 indicate that former Kentucky-based Ross Sinclaire & Associates broker Robert Gleason has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gleason (CRD# 222951).
Robert Gleason has spent 47 years in the securities industry and was most recently registered with Ross Sinclaire & Associates in Owensboro, Kentucky (2009-2014). Previous registrations include Raymond James & Associates in Owensboro, Kentucky; Merrill Lynch in Owensboro, Kentucky; Advest in Owensboro, Kentucky; Merrill Lynch in New York, New York; the Ohio Company; and Almstedt Brothers. He is currently not registered with any state or firm.
According to his BrokerCheck report, Robert Gleason has received two customer complaints and one regulatory sanction.
In August 2016 FINRA sanctioned Robert Gleason following allegations he “failed to cooperate with a FINRA investigation by not attending on-the-record testimony requested by FINRA in connection with an investigation into allegations that he potentially engaged in unauthorized trading in one customer’s account.” He was issued a permanent bar from acting as a broker or otherwise associating with firms that sell securities to the public.
In October 2015 a customer alleged Robert Gleason, while employed at Ross Sinclaire & Associates, mismanaged the account. The complaint settled in July 2016 for $178,500.
If you or someone you know has a complaint regarding Robert Gleason, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.