Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 25, 2016 indicate that Illinois-based Wells Fargo Advisors Financial Network broker/adviser Robert Siracusano has been the subject of a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Siracusano (CRD# 2717239).
Robert Siracusano has spent twenty years in the securities industry and has been registered with Wells Fargo Advisors Financial Network in Naperville, Illinois since 2003. Previous registrations include UBS Financial Services in Weehawken, New Jersey (2000-2003) and Edward Jones in St. Louis, Missouri (1997-2000). He is a registered broker and investment adviser with 34 US states and territories and has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), Series 63 (Uniform Securities Agent State Law Examination), Series 7 (General Securities Representative Examination), Series 10 (General Securities Sales Supervisor – General Module Examination), and Series 9 (General Securities Sales Supervisor – Options Module Examination).
According to his BrokerCheck report, Robert Siracusano has received one customer complaint.
In 2011 a customer alleged Robert Siracusano, while employed at Wells Fargo Advisors Financial Network, breached his fiduciary duty, violated FINRA conduct rules, acted negligently, misrepresented material facts related to an investment, and engaged in control person liability. The complaint resulted in an award to the customer of $8,5000.
According to FINRA rules and federal securities law, brokers like Robert Siracusano must abide by a fiduciary duty that requires them to act only in the best interests of their clients. This means, for instance, that they can only recommend suitable investments that take into account the client’s age, net work, income, investment goals, investment experience, and risk tolerance. Brokers are not permitted to misrepresent or omit material facts related to an investment, as this might cause a customer to invest unsuitably. Brokers and firms who violate applicable rules and regulations may be subject to disciplinary action from FINRA, the Securities and Exchange Commission, or state authorities.
If you or someone you know has lost money investing with Robert Siracusano, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.