(877) 410-8172
Home  »  Investor Alerts  »  Robert David Jr.

Robert David Jr.

Date:

April 18, 2022

Type of alert:

FINRA AWC  

Robert David Jr. recently entered into a FINRA Acceptance, Waiver, and Consent. David allegedly falsified customer’s profile information, increasing their net worth and liquid net worth, and changing their risk tolerance. David also allegedly overconcentrated customer accounts and exercised discretion in customer accounts without prior written authorization. He consented, without confirming or denying the allegations, to a 20-month suspension from associating with any FINRA member and a $15,000 fine.

Read More

Contact Us If You Believe You Have a Case

"*" indicates required fields

Name*

Please note: We are unable to take cases with losses of less than $50,000.

This field is for validation purposes and should be left unchanged.

(877) 410-8172

© 2025 ChapmanAlbin

This site contains attorney advertising. The attorneys at ChapmanAlbin are licensed to practice law in Ohio and Michigan. Any reference to past cases or successes made herein should not be construed as a guarantee of any future outcome. Each client and each client’s case is unique, and no result or outcome is or can ever be guaranteed. The information provided in this website is offered for general information purposes only; it is not offered as and does not constitute legal advice in any way. // Disclaimer

Close menu