Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 25, 2018 indicate that New York-based National Securities Corporation broker/adviser Robert Abramowitz has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Abramowitz (CRD# 4437589).
Robert Abramowitz has spent 16 years in the securities industry and has been registered with National Securities Corporation in Melville, New York since September 2017. Previous registrations include Oppenheimer & Company in Jericho, New York (2016-2017); Raymond James Financial Services in Garden City, New York (2011-2016); Wells Fargo Advisors in Great Neck, New York (2005-2011); and David Lerner Associates in Syosset, New York (2001-2005). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 15, 2016; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 5, 2001; and Series 7 (General Securities Representative Examination), which he obtained on October 19, 2001. He is a registered broker and investment adviser with seven US states: California, Florida, New Jersey, New York, Tennessee, Texas, and Virginia. He is registered with two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Market.
According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.
In July 2018 a customer alleged Robert Abramowitz, while employed at Raymond James Financial Services and Oppenheimer & Company, recommended unsuitable investments, executed unauthorized trades, over-concentrated the account in energy securities, breached contract, breached his fiduciary duty, was negligent in his supervisory duties, and “operated alongside an unregistered representative” without informing the customer that that representative was not associated with Oppenheimer or corrected the customer’s “misconception that they were partners.” The customer is seeking $100,000 in damages in the pending complaint.
In March 2018 a customer alleged Robert Abramowitz, while employed at Raymond James Financial Services, misrepresented and recommended unsuitable investments. The customer is seeking more than $149,200 in damages in the pending complaint.
In 2016 a customer alleged Robert Abramowitz, while employed at Raymond James Financial Services, acted negligently, breached his fiduciary duty, breached contract, misrepresented and omitted material facts, and failed in his supervisory duties. The complaint, in which he was not named as a party, settled for $40,000.
If you have complaints regarding Robert Abramowitz, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover 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.