Call Now For a Free Consultation:
(614) 532-4576
Nationwide Representation

Fort Myers Financial Advisor David Rockwell Facing Client Claims of Alleged Forgery, Fraud & Misappropriation

Did you or someone you love lose money investing with David A. Rockwell (CRD# 4236377)? The Financial Advisor from Fort Myers, Florida has been implicated in two separate customer disputes over claims that he engaged in forgery, fraud, and misappropriation. The two complaints seek a total of $1.2 million in alleged damages.

According to FINRA’s online BrokerCheck, Rockwell has two pending customer disputes:

  • July 2019 Dispute â€“ A pending customer complaint filed on July 12, 2019 claims Rockwell was involved in forgery and fraud regarding clients’ accounts. It seeks $700,000 in alleged damages.
  • June 2019 Dispute â€“ A pending customer complaint filed on June 26, 2019 claims Rockwell misappropriated money from a client’s account to invest in a private security related to a company Rockwell owned. The client is seeking $500,000 in alleged damages.

Rockwell, who was previously registered with Cetera Advisory Networks LLC in For Myers from December 2015 to November 2018, is not currently registered as a broker. Additionally, he has several other disclosure events on his BrokerCheck profile, including:

  • In November 2018, Rockwell was discharged from Cetera due to being charged with a felony; he pled guilty to one count of felony aggravated stalking / cyberstalking in 2018 in Lee County, Florida.
  • A disclosure made final in April 2014 shows Rockwell plead guilty to 1 misdemeanor charge in Mount Clemens, MI, after facing several felony allegations over impaired driving from an incident in 2013.
  • A disclosure regarding employment separation indicated Rockwell was discharged from World Choice Securities, Inc. in June 2019 over allegations that during his previous tenure at Cetera, a customer established and funded an LLC with $400k and subsequently transferred the funds to an LLC established by Rockwell for the purpose of real estate deals alleged to have never been made. The allegations concerned Rockwell’s conduct while at Cetera between 2016 and 2018, and the discharge took place shortly after Rockwell had begun the registration process to affiliate with World Choice Securities.

Call Meyer Wilson to Discuss Your Rights & Options: (614) 532-4576

Meyer Wilson is a nationally recognized law firm that represents investors throughout the country in matters of securities litigation and arbitration related to investment fraud and misconduct â€“ including investor losses incurred as a result of Bad Brokers who engaged in misappropriation, fraud, and forgery, and brokerage firms that failed to supervise their employees.If you suffered financial losses and would like to learn more about your rights and options, our legal team is readily available to speak with you. Call (614) 532-4576 or contact us onlineto speak confidentially with an attorney.

The information contained in The Firm’s posts on its blog, fraud alerts, investigations or elsewhere on the site is based upon information obtained from other sources including, but not limited to, news outlets and federal, state, and regulatory agency filings. All suspects and subjects of postings herein are presumed innocent until proven guilty in a court of law or administrative action and any and all crimes are alleged until a court or regulatory agency finds otherwise .

Share This Story
If you found the information provided by this article useful, consider sharing to your social media channels to help others in their search for reliable resources.
Consult with Our Legal Team
There is never a cost associated with a consultation
Atlanta Office

945 East Paces Ferry Road, Suite 2275
Atlanta, GA 30326
Columbus Office

614-224-6000
305 W. Nationwide Blvd
Columbus, OH 43215
Meyer Wilson
New Orleans Office

900 Camp Street 
Suite 337
New Orleans, LA 70130
Los Angeles Office

310-905-8688
2029 Century Park East,
Suite 400N
Los Angeles, CA 90067
Cleveland Office

216-600-1355
4781 Richmond Rd.
Suite 400
Warrensville Heights, OH 44128
Bloomfield Hills Office

248-817-8214
41000 Woodward Ave.,
Suite 350
Bloomfield Hills, MI 48304
Quick Links
The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter. No recipients of content from this site, clients or otherwise, should act or refrain from acting on the basis of any content included in the site without seeking the appropriate legal or other professional advice on the particular facts and circumstances at issue from an attorney licensed in the recipient's state. Read More
The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter.
Read More
chevron-down linkedin facebook pinterest youtube rss twitter instagram facebook-blank rss-blank linkedin-blank pinterest youtube twitter instagram