Rockwell Global Capital, LLC. is a brokerage firm located at 125 Baylis Road in Melville, NY 11747. It was formed in New York in 2005 and registered with the Securities Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) in 2007.
Rockwell Global's FINRA BrokerCheck report contains five arbitration cases for which the firm paid over $500,000 in fees and restitutions. In April of 2015, Cold Spring Advisory Group secured $26,384 in damages on behalf of a Rockwell Global customer in a FINRA arbitration. The allegations of misconduct in this case included unsuitability, churning, failure to supervise, unauthorized trading, breach of fiduciary duty, breach of contract, churning, fraud and misrepresentation. In another FINRA arbitration six months earlier, a Florida-based Rockwell Global customer was awarded $187,132 in damages for violations of Florida’s Securities and Investor Protection Act, breach of fiduciary duty, common law fraud, excessive trading, breach of contract, negligence, misrepresentation and omission, and negligent supervision.