David Rockwell (CRD#: 4236377) of Fort Myers, Florida became involved in a pending customer dispute on July 12, 2019 after a client alleged that he engaged in “forgery and fraud,” according to his BrokerCheck report accessed on August 27, 2019. The claimant is requesting $700,000 in damages. This was preceded by a claim filed on June 26, 2019, when David Rockwell became involved in a pending customer dispute in which a client “alleges that Mr. Rockwell misappropriated money from his investment accounts to invest in a private security related to a company owned by Mr. Rockwell.” The claimant is seeking $500,000 in damages.
While his LinkedIn profile states that he is currently working as an Independent Financial Advisor in Cape Coral, Florida, David Rockwell is not currently registered with any broker-dealer. He has twice been terminated from two different brokerage firms. On November 14, 2018, Cetera Advisor Networks, LLC terminated David Rockwell after he informed them that he had been charged with a felony. In September 2018, he was charged with aggravated stalking; the original charge was dismissed and he pled guilty to an amended charge. Less than a year later, on June 21, 2019, World Choice Securities, Inc. terminated David Rockwell. According to his BrokerCheck report, “While at a previous broker-dealer customer established and funded an LLC with $400k and then transferred same to an LLC established by Rockwell for the purpose of (a) real estate deal(s) allegedly never made. No specific dates were given but implied 2016 to 2018.”
On September 20, 2015, the Florida Office of Financial Regulation found that David Rockwell made a false statement on his registration application and he consented to the findings. According to the Florida Office of Financial Regulation, his “applications for registration as an associated person (AG and RA) of Cetera Advisor Networks, LLC are denied without prejudice to reapply no earlier than November 16, 2015.”
Throughout his 17-year career in the securities industry, David Rockwell has worked for four brokerage firms:
- Cetera Advisor Networks, LLC (CRD#: 13572) in two different branch locations, Fort Myers, Florida and Sewickley, Pennsylvania
- Suntrust Investment Services, Inc. (CRD#: 17499) of Fort Myers, Florida
- Fifth Third Securities, Inc. (CRD#: 628) of Fort Myers, Florida
- Comerica Securities (CRD#: 17079) of Grosse Pointe Woods, Michigan
If David Rockwell was your broker or if you have questions about your investments, don’t hesitate to contact a securities attorney. Call Fitapelli Kurta at (877) 238-4175 or email firstname.lastname@example.org.