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Robert Rotunno Fined by the State of Missouri

Mar 11, 2022 Regulatory Action

Robert Rotunno (CRD #: 4025263), a broker registered with SW Financial, has been fined by the State of Missouri, according to his BrokerCheck Record accessed on February 26, 2022.

Missouri State Allegations

On December 1, 2021, The State of Missouri fined Robert Rotunno $5,000 after he allegedly failed to disclose two federal tax liens filed against him within 30 days. 

  • Article V, Section 2(c) of FINRA's By-Laws requires brokers to keep their Form U4 "current at all times." FINRA Rule 1122 prohibits registered brokers from filing registration information that is incomplete or inaccurate.
  • Violations of FINRA Rule 1122 also constitute violations of FINRA Rule 2010, which requires associated persons to observe high standards of commercial honor and just principles in their business dealings. 

Tax Lien

In 2021, Robert Rotunno became the subject of two tax liens totaling $1,252,811.31.

Unsuitability Allegations

On March 14, 2019, Robert Rotunno was involved in an unsuitability dispute. The case was settled for $50,000.

Background Information

Robert Rotunno has passed the following exams:

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

He is a registered broker in 13 states.

Besides SW Financial, Robert Rotunno has also worked with the following firms:

  • Worden Capital Management (CRD#:148366)
  • Tigress Financial Partners (CRD#:154717)
  • National Securities Corporation (CRD#:7569)
  • Laidlaw & Company (UK) (CRD#:119037)
  • Sands Brothers & Co. (CRD#:26816)
  • Global Capital Securities Corporation (CRD#:16184)
  • Murphy & Durieu (CRD#:6292)
  • American Investment Services (CRD#:21111)

Kurta Law Can Help 

If you have worked with Robert Rotunno and have concerns about your investments, don't hesitate to get in touch with us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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.