Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that Texas-based Western International Securities broker/adviser Darrell Roberts resigned from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Roberts (CRD# 4244624).
Darrell Roberts has spent 16 years in the securities industry and has been registered with Western International Securities in Richardson, Texas since September 2017. Previous registrations include Financial West Group in Richardson Texas (2013-2017); Ameriprise Financial Services (2001-2013); and IDS Life Insurance Company in Minneapolis, Minnesota (2001-2006). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with six US states: Idaho, Indiana, New York, Oklahoma, Texas and Washington.
According to his BrokerCheck report, Darrell Roberts has resigned from a former employer in connection to alleged rule violations.
In 2013 Darrell Roberts was “permitted to resign” from his position at Ameriprise Financial Services “for company policy violations related to complying with the terms of a heightened supervision plan and use of discretionary authority.” For reference, FINRA rules stipulate that brokers are forbidden from “Purchasing or selling securities in a customer’s account without first contacting the customer and receiving the customer’s authorization to make the sale or purchase, unless the broker has received from the customer written discretionary authority to effect transactions in the account or the broker was given discretion as to price and time.”
If you have lost money investing with Darrell Roberts, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.