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Robert Cautilli Allegedly Failed to Provide Investor with Information

Jun 30, 2022 Investor Disputes

Robert Cautilli (CRD #: 1680697), a broker registered with Wells Fargo Clearing Services, is involved in an investor dispute, according to his BrokerCheck record, accessed on June 22, 20222. Keep reading for details.

On April 13, 2022, an investor alleged that Robert Cautilli failed to notify her of a maturity date and options for an Estate of which she was an executrix. These allegations would be a violation of FINRA Rule 2010, which requires investors to uphold high standards of commercial honor.

His failure to notify of her of a maturity date might also constitute a violation FINRA Rule 2020, which prohibits the omission of material information related to an investment.

Background Information

Robert Cautilli has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • SIE Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination
  • Series 6 Investment Company Products / Variable Contracts Representative Examination

He is a registered broker in 18 states and D.C. He is also a registered investment adviser in Florida and Pennsylvania.

Robert Cautilli has worked for the following firms:

  • First Union Brokerage Services (CRD #: 8112)
  • First Clearing Corporation (CRD #: 17344)
  • First Investors Corporation (CRD #: 305)

Kurta Law Can Help

If you worked with Robert Cautilli and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.