Robert Wolfe Investigation

Who is Robert Wolfe? Robert Wolfe Investigation

Robert Wolfe (Robb Wolfe, Robert Brian Wolfe) is a former broker; he was registered with Mercer Allied Company and Goldman Sachs until 2021. He is currently an investment adviser registered with Apollon Wealth Management. According to FINRA’s BrokerCheck, he has been the subject of 6 disclosures.

Peiffer Wolf is currently investigating claims against Robert Wolfe for his recommendation of REITs and Variable Annuities.

If you were a client of Robert Wolfe, Contact Us Today by calling 585-310-5140 or by filling out an online contact form for a FREE Consultation.

Robert Wolfe Client? | Robert Wolfe Investigation

According to FINRA’s BrokerCheck website for Public Disclosures, Robert Wolfe has been the subject of 7 disclosures, including 6 customer disputes. The more notable disclosures are as follows:

September 2021 – Employment Separation After Allegations. Goldman Sachs Personal Financial Management discharged Robert Wolfe. Allegations: “client communications related to portfolio performance and market valuations; and handling and resolution of customer grievances without the knowledge and approval of his employer.”

September 2021 – Customer Dispute: Pending. Amount requested: $1000,000. Allegations: “unsuitable investment recommendations while he was registered with that prior firm and did not provide adequate information regarding the risk associated with these investments. The claim also alleged that the prior firm did not perform adequate due diligence on products sold or provide proper supervision.”

August 2021 – Customer Dispute: Pending. Allegations: “unsuitable investment recommendations and did not disclose information relating to the investments.”

August 2020– Customer Dispute: Settled. Amount: $170,000. Allegations: “Unsuitable investment recommendations while he was registered with that prior firm and did not provide adequate information regarding the risk associated with these investments. The claim also alleged that the prior firm did not perform adequate due diligence on products sold or provide proper supervision.”

August 2020– Customer Dispute: Settled. Amount: $140,000. Allegations: “Unsuitable investment recommendations while he was registered with that prior firm and did not provide adequate information regarding the risk associated with these investments. The claim also alleged that the prior firm did not perform adequate due diligence on products sold or provide proper supervision.”

Prior to Mercer Securities and Goldman Sachs, Wolfe was registered with Cetera Advisor Network, Girard Securities, Capital Planning Group, MML Investors Services, Edward D. Jones, and Advest.

If you invested with Robert Wolfe, contact Peiffer Wolf immediately for a FREE Consultation.

To review Robert Wolfe’s Brokercheck report, click here:

https://brokercheck.finra.org/individual/summary/2268259

*BrokerCheck is run by the Financial Industry Regulatory Authority, Inc. (FINRA)

Robert Wolfe Client?

Financial advisors (brokers) have a legal obligation and regulatory obligation to recommend only suitable investments that are appropriate for their individual clients. Their broker-dealer (employing brokerage firm) has a legal obligation and regulatory obligation to supervise the financial advisor’s sales practices and dealings with clients. To the extent that any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

Based on our experience, we believe that there may be more investors who have been the victims of Robert Wolfe’s alleged broker misconduct and investment fraud. If you invested with Robert Wolfe, you should contact Peiffer Wolf immediately for a FREE Consultation.

FREE Consultation | 585-310-5140

If you believe you were a victim of investment fraud or broker misconduct, it is imperative to take action. Peiffer Wolf has represented thousands of victims, and we remain committed to fighting on behalf of investors.

Peiffer Wolf is currently investigating Robert Wolfe’s practices, as well as the products he recommended to individual investors. Concerns about possible broker misconduct and investment fraud are serious, and we are committed to fighting on behalf of investors. Contact Us Today for a FREE Consultation.

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