Robert Wayne Warther of Akron Ohio a stockbroker formerly registered with Cambridge Investment Research Inc. is referenced in a customer initiated investment related written complaint on November 2, 2016 where the customer requested damages estimated to exceed $5,000.00 supported by allegations that the customer was placed in a fixed annuity that was not suitable for the customer.

Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Warther is referenced in three more customer initiated investment related disputes pertaining to accusations of his violative conduct during the time that he was associated with Securities America Inc., Cambridge Investment Research Inc. and Mutual Service Corporation. Particularly, on December 6, 2001, a customer filed an investment related complaint regarding Warther’s activities in which the customers sought compensatory damages founded on allegations that they were not provided adequate information about the nature of the investments purchased, and the customers assets were inappropriately placed into a variable annuity instead of mutual funds.

On June 10, 2002, another customer filed an investment related complaint concerning Warther’s conduct where the customer requested unspecified damages based upon accusations that the terms and conditions of the customer’s insurance policy had not been reasonably explained to the customer, misrepresentations were made with respect to the terms of the insurance policy purchased by the customer, and the customer was placed into an annuity before the customer was even provided information about his financial plan. Then, on September 30, 2015, a customer filed an investment related complaint involving Warther’s activities in which the customer sought $8,149.12 in damages supported by allegations that Warther failed to provide adequate information to the customer regarding a 1035 Exchange into a variable annuity issued by Allianz.

FINRA Public Disclosure further reveals that Warther was discharged by prior employer, LPL Financial LLC, founded on accusations that Warther corresponded with prospective investors in a manner which violated LPL Financial policy.

Warther’s registration with Cambridge Investment Research Inc. has been terminated as of December 31, 2016. He has been employed by Independence Capital Co. Inc. since January 9, 2017.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

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Guiliano Law Group, P.C.

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

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