Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on January 13, 2017 indicate that former Connecticut-based Kestra Investment Services broker/adviser George Robertson recently resigned from his former employer following allegations of misconduct. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Robertson (CRD# 1026646).
George Robertson has spent six years in the securities industry and was most recently registered with Kestra Investment Services in Darien, Connecticut (2015-2016). Previous registrations include Yamaichi International; Jamie Securities; and Salomon Brothers. He is currently not registered with any state or firm.
According to his BrokerCheck report, George Robertson recently resigned from Kestra Investment Services and has received two unsatisfied tax liens.
In December 2016 George Robertson was “permitted to resign” from his position at Kestra Investment Services following allegations involving the “use of unmonitored email address, undisclosed OBA [outside business activity] and failure to complete firm CE as required.”
In 2015 the Internal Revenue Service filed a tax lien totaling $30,426 against George Robertson. The lien remains outstanding.
In 2013 the Internal Revenue Service filed a tax lien totaling $11,314 against him. The lien remains outstanding. He commented on the disclosure: “I suffered identity theft and for 3 years a person claimed a refund from the IRS while I thought I was in full compliance and had paid all taxes. This was not discovered until 2014.”
If you have lost money investing with or have complaints regarding George Robertson, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on a contingency basis: that is, Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.