Last Updated: September 2023 (Ridgewood, NJ)
Robert Vial Investigation Summary
Here’s what you need to know about Ridgewood, NJ, stockbroker Robert Vial:
- Name: Mr. Robert Watson Vial
- Current Employer: Not Currently registered with FINRA
- Previous Firms: Four Points Capital Partners, Niagara International Capital, Innovation Partners
- Function: Stock Broker/ Financial Advisor
- Aliases: None
- Primary Location: Ridgeway, NJ
- CRD 1722789
- Can Robert Vial be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Robert Vial As Your Stockbroker?
In 8/2022 FINRA suspended Robert Vial for 30 days (ending 8/30/2022) and fined him $5,000 to resolve allegations that he engaged in outside business activities (OBA) without providing prior written notice to his firm, Four Points Capital Partners. Vial and 4 others formed a company for the purpose of pooling their funds to invest.
Allegations of Broker Misconduct Against Robert Vial
Securities regulators have alleged the following wrongdoing by Robert Vial:
- Engaging in outside business activity without written notice to his FINRA member firm Four Points Capital Partners
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 Vial, contact us for a complimentary consultation with an experience 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.
