Thomas Jacobs (CRD 4139430) is a Bay City, Michigan broker. FINRA suspended him from association with any member firm in all capacities for two months and assessed a deferred fine of $2,500, according to an AWC issued August 3, 2026.
Investors may have suffered financial harm by securities broker Robert Christopher Binkowski (also known as Rocky Binkowski) [CRD: 4814174, Carlsbad, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Binkowski has worked for Ameriprise Financial Services LLC since December 4, 2023; previously worked for Arete Wealth Management LLC from March 9, 2015, to December 7, 2023; and was registered with Axxcess Wealth Management LLC during periods between March 10, 2015, and January 3, 2024. See below to learn more about Binkowski’s disclosures.
Specifically, on April 6, 2026, an Arete Wealth Management client filed FINRA Arbitration No. 26-00762 about Robert Binkowski. Mainly, the client alleged that Binkowski made unsuitable recommendations. For this reason, the client allegedly sustained damages linked to alternative investments. Consequently, the client requested compensation of at least $165,000 from Arete Wealth Management or Binkowski. BrokerCheck shows that this arbitration is pending a resolution.
Also, a client of Arete Wealth Management contested Robert Binkowski’s sales practices, according to a complaint dated December 27, 2023. Allegedly, Binkowski made an unsuitable investment recommendation in January 2021. It appears that Binkowski allegedly caused the client to sustain damages associated with alternative investments. As a result, the client sought compensation from Arete Wealth Management or Binkowski in the amount of $25,000 in this matter. However, the customer withdrew this complaint.
Are you concerned about investments you made through Robert Binkowski? You should contact Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, our securities lawyers handle cases on a contingency fee arrangement and advance all costs. Binkowski and brokerage firms Binkowski worked for deny allegations of sales practice violations.
Thomas Jacobs (CRD 4139430) is a Bay City, Michigan broker. FINRA suspended him from association with any member firm in all capacities for two months and assessed a deferred fine of $2,500, according to an AWC issued August 3, 2026.
Mark Sullivan (CRD 2531982) is a Bethlehem, Pennsylvania broker. FINRA suspended him from association with any member firm in all capacities for three months and assessed a deferred fine of $10,000, according to an AWC issued August 6, 2026.
Moors & Cabot, Inc. (CRD 594) is a brokerage firm based in Boston, Massachusetts. FINRA censured and fined the firm $125,000 after finding it failed to develop and implement an anti-money laundering compliance program reasonably expected to detect and report suspicious transactions, according to an AWC issued August 24, 2026.
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