Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 5, 2017 indicate that former California-based Richfield Orion International broker/adviser Robert Lindell has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lindell (CRD# 2550012).
Robert Lindell has spent 22 years in the securities industry and was most recently registered with Richfield Orion International in Santa Rosa, California (2013-2017). Previous registrations include Revere Securities in Bangor, Maine; Jesup & Lamont Securities in New York, New York; Intervest International Equities Corporation in Frankfort, Maine; Edward Jones in St. Louis, Missouri; and Hackett & Company in South Burlington, Vermont. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received several regulatory sanctions and has been named in a pending criminal complaint.
In July 2017 FINRA barred Robert Lindel following allegations he failed to respond to FINRA request for information. He was consequently barred from acting as a broker or otherwise associating with firms that sell securities to the public.
In March 2017 he was charged with one felony count of “knowing or intentional securities violation” and one felony count of “theft by unauthorized taking or transfer” in the Penobscot County Superior Court in Bangor, Maine. He pled not guilty to the charges, which remain pending.
In 2014 the Maine Bureau of Insurance sanctioned Robert Lindell following allegations he failed to timely report a consent order between him and the Maine Office of Securities. He was issued a fine of $500.
In 2011 he was sanctioned by the Maine Office of Securities following allegations he “engaged in unlicensed activity as an investment adviser representative for Revere Securities Corp. by (a) providing discretionary fee-based investment advisory services to at least nine revere clients; (b) preparing a financial plan for compensation; and (c) receiving compensation for his solicitation of at least 16 Maine clients for a 3rd-party adviser.” He was issued a fine of $15,000.
If you or someone you know has a complaint regarding Robert Lindel, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get 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.