Last Updated: March 2024 (The Villages, Florida)
Robert Fross Investigation Summary
Here’s what you need to know about The Villages, Florida, stockbroker Robert Fross:
- Name: Mr. Robert C. Fross
- Current Employer: Not currently registered with FINRA
- DBA: Fross and Fross Wealth Management
- Previous Firms: LPL Financial (until 9/2022), SII Investments
- Function: Stock Broker/ Financial Advisor
- Aliases: Robert Fross
- Primary Location: The Villages, FL
- CRD 4509851
- Can Robert Fross be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $14,999
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Robert Fross As Your Stockbroker?
Robert Fross discloses settlement of two customer disputes with customers of SII Investments. Both cases involve complaints involving illiquid real estate investment trusts (REITs). One customer also complained regarding annuities. Settlement amounts were $14,000 and $14,999.
[LEARN MORE]: See this for more information on REITs and Other Alternative Investments
Allegations of Broker Misconduct Against Robert Fross
Customers of Robert Fross have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to purchase speculative illiquid REIT
- Annuity Switching
[LEARN MORE]: See this for our prior investigations of cases involving Annuities
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Robert Fross, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
