Robert A. Perconte of Port St. Lucie Florida a stockbroker formerly employed by Ameriprise Financial Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on allegations that Perconte neglected to respond to FINRA’s request for information which possibly concerned Perconte’s possible outside business activities as referenced by Ameriprise Financial Services when terminating Perconte from the firm. Case No. 2016049632601 (June 30, 2017).
According to FINRA Public Disclosure, Perconte was discharged by Ameriprise Financial Services Inc. on April 13, 2016 supported by allegations that Perconte failed to generate approval from the firm in regard to an outside business activity that he engaged in.
Perconte was reportedly asked to provide information to FINRA subsequent to his termination from Ameriprise Financial Services; however, Perconte failed to comply with the regulator. As a result, FINRA issued Perconte a Notice of Suspension letter dated March 27, 2017 and a Suspension from Association letter dated June 30, 2017. At the time of Perconte’s suspension, he was apparently warned by FINRA that his failure to comply with FINRA going forward could lead to Perconte being barred from the securities industry in all capacities. Indeed, Perconte was provided until June 29, 2017 to seek the termination of his suspension. Since Perconte failed to cooperate in this respect, FINRA automatically barred him on June 30, 2017.
Between May 19, 2016 and October 14, 2016, Perconte was registered with Summit Brokerage Services.
