Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 4, 2017 indicate that Virginia-based Oppenheimer & Company broker/adviser Warren Rowe has been the subject of customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rowe (CRD# 1065880).
Warren Rowe has spent 34 years in the securities industry and has been registered with Oppenheimer & Company in Richmond, Virginia since 2011. Previous registrations include RBC Capital Markets in Richmond, Virginia; Ferris Baker Watts in Richmond, Virginia; Wachovia Securities in St. Louis, Missouri; Prudential Securities in New York, New York; Scott & Stringfellow; and Anderson & Strudwick. He is a registered broker and investment adviser with 14 US states and territories: California, Florida, Georgia, Maine, Maryland, Minnesota, New York, North Carolina, Pennsylvania, South Carolina, Texas, Virginia and Washington.
According to his BrokerCheck report, he has received three customer complaints.
In 2009 a customer alleged Warren Rowe, while employed at Ferris Baker Watts (now known as RBC Capital Markets), recommended unsuitable mutual fund investments. The complaint settled in 2010 for $125,000.
In 2005 a customer alleged Warren Rowe, while employed at Prudential Securities, recommended an unsuitable outside money manager, resulting in losses. The complaint settled for $50,000.
In 1985 a customer alleged Warren Rowe, while employed at Scott & Stringfellow, “mishandled [the] account creating interest expense.” The complaint resulted in an award to the customer of $49.87.
If you or someone you know has lost money investing with Warren Rowe, call 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.