Rockwell Global Capital LLC

Rockwell Global Capital markets itself as an investment banking firm for individual and corporate investors. Headquartered in Melville, NY, the firm was formed in 2005.

Rockwell Global Capital has been the subject of several FINRA arbitration claims and which have resulted in significant awards to the claimants. One such award by a Florida FINRA arbitration panel awarded compensatory and punitive damages, attorney’s fees and costs of over $300,000 finding the firm liable for fraud. The FINRA panel found evidence that the firm charged excess fees, or churning of the claimant’s account. According to the FINRA arbitration award, these fees were hidden from the claimant by Rockwell and Rockwell had assured the claimant that minimal or no commission charges were being assessed.

The FBI arrested a former Rockwell Global financial advisor in May, 2014 for wire fraud in connection with a Ponzi scheme. The FBI alleged that the advisor accepted investors’ money to be put into various financial instruments, but instead deposited most of the funds into his personal bank account to be used for his own expenses and to pay off other investors. The advisor provided fraudulent statements to investors.

Silver Law Group is a nationally recognized securities and investment fraud law firm with Martindale-Hubbell® Peer Review Ratings™ “AV” rated lawyers that handle all securities arbitration matters on a contingency fee basis. The Law Firm, at no cost to investors will review account activity and account statements to determine whether there was any misconduct, whether there are damages and the legal causes of action. We investigate all sales practice violations, while taking into consideration the investor’s age, investment background, and the relationship between the investor and the brokerage firm and its financial advisor. According to securities industry rules and regulations, unsuitable investment advice, securities concentration, fraudulent misrepresentations and omissions of material facts, breach of fiduciary duty, conflicts of interest, variable annuity switching are among the causes of action that may be available to investors in claims for damages against brokerage firms and their financial advisors in a securities arbitration claim filed with the Financial Industry Regulatory Authority (FINRA). We represent investors in FINRA arbitration claims on a contingency fee basis.

To learn more call us at (954) 755-4799 or Toll Free at (800) 975-4345