Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that Florida-based Herbert J. Sims & Company broker/adviser Robert Salles has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Salles (CRD# 1468194).
Robert Salles has spent 30 years in the securities industry and has been registered with Herbert J. Sims & Company in Boca Raton, Florida since 2002. Previous registrations include Salomon Smith Barney in New York, New York (1997-2002); the GMS Group in Livingston, New Jersey (1990-1997); JT Moran & Company (1989-1990); Robyns Capital Corporation (1989); Hampton Securities (1987-1989); Bradstreet Capital (1987); and Morgan Gladstone & Company (1987). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 26, 1987; Series 7 (General Securities Representative Examination), which he obtained on March 15, 1986; and Series 24 (General Securities Principal Examination), which he obtained on July 28, 1988. He is a registered broker and investment adviser with 36 US states and territories.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and two denied customer complaints.
In October 2017 a customer alleged Robert Salles, while employed at Herbert J. Sims & Company, recommended unsuitable investments. The customer is seeking $16,000 in damages in the pending complaint.
In 2002 a customer’s trustee alleged he, while employed at Salomon Smith Barney, recommended unsuitable investments. The claimant sought unspecified damages in the complaint, which was denied.
In 2001 a customer alleged Robert Salles, while employed at Salomon Smith Barney, breached his fiduciary duty and misrepresented material facts. The customer sought $40,000 in damages in the complaint, which was denied.
In 2001 a customer alleged Robert Salles, while employed at Salomon Smith Barney, committed fraud, breached his fiduciary duty, recommended unsuitable investments, employed an unsuitable investment strategy, misrepresented material facts, and acted negligently. The complaint settled for $65,000.
If you or someone you know has lost money investing with Robert Salles, 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.