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Robert Pizzimenti Allegedly Failed to Follow a Client’s Instructions

May 20, 2022 Investor Disputes

Robert Pizzimenti (CRD #: 1256707), a broker registered with Wells Fargo Clearing Services, allegedly failed to execute a client’s orders, according to his BrokerCheck record, accessed on May 16, 2022. If you want to know more about Robert Pizzimenti’s conduct as a broker, read on.

Alleged Failure to Execute

In a dispute filed on March 3, 2022, an investor alleges that Robert Pizzimenti failed to follow instructions regarding the timely execution of trades and transfer of funds. This dispute is pending.

What is Failure to Follow Instructions?

A failure to follow instructions, also known as failure to execute, can be considered a violation of several FINRA Rules. FINRA Rule 5310, for example, requires brokers to execute trades promptly and in accordance with investors’ instructions.

Failure to execute can also be a violation of FINRA Rule 2010, which holds brokers to high standards of commercial honor.

Background Information

Robert Pizzimenti has passed the following exams:

  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination

Robert Pizzimenti is a registered broker in six states and a registered investment adviser in New York.

In the past, he has also worked for Prudential Securities (CRD#:7471)

Kurta Law Can Help

If you worked with Robert Pizzimenti 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.