Investor Alert > Gabriel Block— Alleged Unauthorized Trading & Unsuitability
Posted Apr 19, 2019
by Alan Rosca

Gabriel Block— Alleged Unauthorized Trading & Unsuitability

Gabriel Block Facing Pending Customer Disputes Alleging Unauthorized Trading & Unsuitability & Requesting $300K & $668K, Respectively

Gabriel Block allegedly engaged in acts of unsuitability, breach of fiduciary duty, and negligence, according to a Pending Customer Dispute filed on Block’s FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca.

The aforementioned dispute was filed on March 25, 2019, FINRA states, and is requesting damages of $300,000.

A second Pending Customer Dispute  against filed on March 1, 2019, alleges that Gabriel Block engaged in unsuitable trading, FINRA notes. Said Dispute does not specify damages requested.

A third Pending Customer Dispute filed on February 15, 2019 alleges that Gabriel Block engaged in unauthorized trading and suitability, FINRA states. A damage amount of $668,000 has been requested, FINRA reports.

Investor rights attorney Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to Gabriel Block’s alleged acts of unsuitability, breach of fiduciary duty, and negligence. Investors who believe they may have lost money in activity related to Gabriel Block’s alleged acts of unsuitability, breach of fiduciary duty, and negligence are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Gabriel Block Suspended by FINRA; Block Allegedly Failed to Respond to a FINRA Request for Information

Gabriel Block, as a result of the aforementioned alleged behavior, fell under the scope of a FINRA investigation, FINRA states.

Block allegedly failed to respond to FINRA’s request for information, FINRA notes. Hence, Block has been suspended indefinitely by FINRA until said required information is provided to FINRA or the suspension converts to a bar, FINRA reports.

If Block fails to request termination of the suspension within three months of the date of the Notice of Suspension, he will automatically be barred on May 15, 2019 from association with any FINRA member in all capacities pursuant to FINRA Rules, FINRA states.

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.

Securities Lawyer Investigating

The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Gabriel Block’s alleged acts of unsuitability, breach of fiduciary duty, and negligence. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Gabriel Block’s alleged acts of unsuitability, breach of fiduciary duty, and negligence may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

Contact us. All evaluations are free

DISCLAIMER

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 matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

Contact us at 888‑998‑0530 or through the contact form on this page.
No recovery, no fees.*

How to contact us?

We can also do a Zoom call to discuss your matter.