Robert Turpin– Sale of Private Securities Transactions, Undisclosed Outside Business Activities

investment fraud attorneysRobert Turpin Allegedly Participated in the Sale of Private Securities Transactions and Engaged in Undisclosed Outside Business Activities

Robert Turpin allegedly participated in the sale of private securities transactions and engaged in undisclosed outside business activities, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Source Capital Group, on September 4, 2015, filed a Uniform Termination Notice for Securities Industry Registration with FINRA allegedly disclosing that it had discharged Turpin on September 4, 2015, and Turpin’s registration with the Source ended on September 4, 2015, the AWC also reports.

The Peiffer Rosca Wolf securities lawyers are currently investigating Robert Turpin’s alleged series of false statements and material omissions.

Robert Turpin Barred for Failure to Provide Documents and Information in the Course of a FINRA Investigation

Robert Turpin received a request from FINRA staff requesting documents and information pursuant to FINRA Rules, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

Turpin allegedly acknowledged the FINRA request, but purportedly refused to provide the requested documents, and hence, violated FINRA Rules, the AWC notes. Turpin, as a result, has been barred by FINRA, the AWC further alleges.

One should also note that, according to the AWC, Robert Turpin 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 the sale of private securities transactions and engaged in undisclosed outside business activities and are currently investigating Robert Turpin’s sale of private securities transactions and engaged in undisclosed outside business activities. 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 J. Turpin’s sale of private securities transactions and engaged in undisclosed outside business activities 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.

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.