Public records published by the Financial Industry Regulatory Authority (FINRA) on March 8, 2017 indicate that Pennsylvania-based Wells Fargo Advisors Financial Network broker/adviser Robert Friedman has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Friedman (CRD #1101794).
Robert Friedman has spent 33 years in the securities industry and has been registered with Wells Fargo Advisors Financial Network in Berwyn, Pennsylvania since October 2016. Previous registrations include Wells Fargo Advisors in Berwyn, Pennsylvania; First Union Capital Markets in Charlotte, North Carolina; Legg Mason Wood Walker in Baltimore, Maryland; Merrill Lynch; and Patten Securities Corporation. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 5 (Interest Rate Options Examination). He is a registered broker and investment adviser with 24 US states and territories.
According to his BrokerCheck report, Robert Friedman has received one pending customer complaint and resigned from one former employer.
In January 2017 a customer alleged Robert Friedman, while employed at Wells Fargo Advisors, “placed him in a risky portfolio” including an annuity that “he thought… was to pay income for life but it no longer has value.” The customer is seeking $200,000 in damages in the pending complaint.
In 1996 Robert Friedman was “permitted to resign” from his position at Legg Mason Wood Walker following allegations he “either permitted or instructed a sales assistant to sign [a] client’s name to firm documents, including instructions to transfer and disburse funds.”
If you have complaints regarding Robert Friedman, call the experienced attorneys at 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.