Roland Gerbauld
Background Of Roland Gerbauld (CRD No. 4494232)
Respondent entered the securities industry in December 2001 when he became associated
with a FINRA member firm. Respondent first registered as a General Securities
Representative through his association with that firm in February 2002. Respondent
became associated with Bolton Global Capital in December 2016, and registered with
FINRA as a GSR through his association with Bolton in June 2017.
On December 12, 2019, Bolton filed a Uniform Termination Notice for Securities
Industry Registration (Form U5) disclosing Respondent’s voluntary termination.
Respondent has not thereafter associated with any FINRA member firm, but remains
subject to FINRA’s jurisdiction pursuant to Article V, Section W of FINRA’s By-Laws.
Respondent does not have any relevant disciplinary history.
Activity(s) Reported – Roland Gerbauld
This matter originated from the firm’s filing of a Form U5.
FINRA Rule 8210(a)(1) states in relevant part that FINRA has the right to “require
a…person associated with a member, or any other person subject to FINRA’s jurisdiction
to provide information orally, in writing or electronically….” FINRA Rule 8210(c)
similarly provides that “[n]o member or person shall fail to provide
information…pursuant to this Rule.” A failure to comply with a request for information
pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires
associated persons to “observe high standards of commercial honor and just and equitable
principles of trade.”
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On April 21, 2020, FINRA staff, in connection with an investigation as to whether
Respondent participated in a money-laundering scheme as alleged by the Federal
Prosecution Office, Office of the Attorney General of State of Rio de Janeiro, Brazil, sent
a request to Respondent through his counsel for the production of information and
documents pursuant to FINRA Rule 8210. Although Respondent initially produced
certain documents in response to the request, as stated in his counsel’s July 7, 2020 email
to FINRA staff, and by this agreement, Respondent acknowledges that he received
FINRA’s request and will not produce any of the remaining information or documents
requested pursuant to FINRA Rule 8210 at any time. Respondent therefore did not
substantially comply with the staff’s Rule 8210 request.
By refusing to produce the information and documents as requested pursuant to FINRA
Rule 8210, Respondent violated FINRA Rules 8210 and 2010.
Can you expose the broker trying to trick you?
FINRA offers the free web tool BrokerCheck, which allows users to check a broker’s credentials, registration, and employment history. The disclosure part of BrokerCheck includes information on client conflicts, disciplinary proceedings, and specific financial and legal issues on the broker’s record.
Penalties And Sanctions
• A bar from associating with any FINRA member in any capacity.
Respondent understands that if he is barred or suspended from associating with any
FINRA member, he becomes subject to a statutory disqualification as that term is defined
in Article III, Section 4 of FINRA’s By-Laws, incorporating Section 3(a)(39) of the
Securities Exchange Act of 1934. Accordingly, he may not be associated with any
FINRA member in any capacity, including clerical or ministerial functions, during the
period of the bar or suspension. See FINRA Rules 8310 and 8311.
The sanctions imposed herein shall be effective on a date set by FINRA staff. A bar or
expulsion shall become effective upon approval or acceptance of this AWC.
Recent Activity(s)Of The Individual/Firm
Respondent violated FINRA Rules 8210 and 2010 by failing to substantially comply with
a request to provide documents and information pursuant to FINRA Rule 8210.
How To Spot A Fraud Finance Advisor (Infographic)
Help For Victims Of Roland Gerbauld
If you have lost funds because of misrepresentation, unsuitable investment, or unsuitable investment strategy from Roland Gerbauld. Then you can take legal action and get justice. Fraud, Malpractice & dereliction of duty should not be taken lightly, especially in this industry. We highly suggest that you notify authorities or seek legal action if your financial advisor or brokerage firm fails to abide by FINRA’s rules are regulations.
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Financial advisors are regulatory & legally obligated to suggest (recommend) the most suitable investments/investment strategies to their clients. Their suggestions should have their client’s best interests and should be appropriate for their client’s goals and needs. Similarly, the brokerage firm which hires financial advisors also has a regulatory & legal obligation to keep a close watch and supervise their Financial Advisors’ practices & behavior. They need to make sure that the financial advisor is not being manipulative or having an unreasonable bias towards certain investments. If the financial advisor and/or the brokerage firm breaches these duties, then the client/customer may be entitled to a full or partial recovery of their losses.
Financial advisors need to have the interest of their clients when giving suggestions related to investments and investment strategies. Reasonable basis suitability requires the advisor to do their best to analyze & identify the risks and rewards associated with their suggested investment and/or investment strategy.
Efrain B. Trujillo
Dr. Henrique Duck, PhD in Media Studies and Critical Theory, specializes in writing detailed critics stories and reviews. He has contributed to prominent newspapers and websites, providing insightful analysis of media content and its effects on society.
