Robert DelGuercio from Iselin, New Jersey Barred From Securities Industry
Have you lost money with financial advisor Robert DelGuercio of Iselin, New Jersey? We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Robert Baldwin Del Guercio. FINRA barred Robert DelGuercio from the securities industry after he failed to respond to an investigation. FINRA was investigating DelGuercio after he was the subject of customer complaints alleging sales violations.
Robert Del Guercio was a financial advisor and registered representative of Herbert J. Sims & Co. from February 2012 to August 2017. He also was affiliated with UBS Financial Services from December 2009 to February 2012. He worked at a branch office in Iselin, New Jersey. Del Guercio has been the subject of at least ten customer complaints, alleging misrepresentations related to corporate bonds as well as oil and gas investments.
Brokerage firms like Herbert J. Sims & Co. have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New Jersey. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: DelGuercio, Robert FINRA AWC
Click to view: Del Guercio, Robert BrokerCheck 10.17.17
If you lost money with Robert DelGuercio or Herbert J. Sims & Co., please Contact Us at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.