Robert Baldwin Del Guercio— Alleged Sales Practice Violations

New Orleans Investment fraud attorneysRobert Baldwin Del Guercio Allegedly Engaged in Sales Practice Violations

Robert Baldwin Del Guercio, of Iselin, New Jersey, allegedly engaged in sales practice violations, according to a recent Letter of Acceptance, Waiver, and Consent (AWC) presently being reviewed by attorneys Alan Rosca and James Booker.

Investors who believe they may have lost money in activity related to Robert Baldwin Del Guercio’s alleged engagement in sales practice violations are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.

The Peiffer Rosca Wolf securities lawyers are currently investigating Robert Baldwin Del Guercio’s alleged engagement in sales practice violations.

On October 3, 2016, Del Guercio’s Uniform Application For Securities Industry Registration or Transfer (Form U4) was allegedly amended to disclose that his customers had filed an arbitration claim in July 2016 alleging sales practice violations against Del Guercio, according to the aforementioned AWC.

On August 2017. FINRA purportedly sent a request to Del Ciuereio pursuant to FINRA Rules requesting that he appear and provide on-the-record testimony on October 12, 2017, the AWC notes.

Robert Baldwin Del Guercio Barred by FINRA

Robert Baldwin Del Guercio, as stated through counsel during a telephone call between counsel and FINRA staff on September 6, 2017, allegedly acknowledged that he received FINRA’s August 31, 2017 request and that he would purportedly not appear for on-the-record testimony at any time, according to the aforementioned AWC currently being reviewed by attorneys Alan Rosca and James Booker.

Del Guercio, by refusing to appear for on-the-record testimony as requested pursuant to FlNRA Rules, allegedly violated FINRA Rules, and hence has been barred by FINRA, the AWC states.

Robert Del Guercio was a financial advisor and registered representative of Herbert J. Sims & Co. from February 2012 to August 2017, and was also affiliated with UBS Financial Services from December 2009 to February 2012, FINRA reports.

Del Guercio has purportedly been the subject of at least ten customer complaints, alleging misrepresentations related to corporate bonds as well as oil and gas investments, FINRA states.

Finally, one should also note that, according to the AWC,  Robert Baldwin Del Guercio neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Robert Baldwin Del Guercio’s alleged engagement in sales practice violations. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Robert Baldwin Del Guercio’s alleged engagement in sales practice violations may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

Alan Rosca (1225 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.