Public records published by the Financial Industry Regulatory Authority (FINRA) on February 14, 2017 indicate that New York-based Raymond James & Associates broker/adviser Alan Rosenberg has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rosenberg (CRD# 4156676).
Alan Rosenberg has spent sixteen years in the securities industry and has been registered with Raymond James & Associates in Garden City, New York since 2007. Previous registrations include Merrill Lynch in Garden City, New York; Advest in Hartford, Connecticut; Banc of America Investment Services; Quick & Reilly in New York, New York; Prudential Securities in New York, New York; and UBS Painewebber in Weehawken, New Jersey. He is a registered broker and investment adviser with eighteen US states and territories.
According to his BrokerCheck report, Alan Rosenberg has received one customer complaint and one pending customer complaint.
In November 2016 a customer alleged Alan Rosenberg, while employed at Raymond James & Associates, recommended unsuitable products and breached his fiduciary duty. The customer is seeking $150,000 in damages in the pending complaint, in which Mr. Rosenberg is referenced but not personally named.
In 2009 a customer alleged Alan Rosenberg, while employed at Raymond James & Associates, breached contract, committed fraud, misrepresented material facts, acted negligently, breached his fiduciary duty, made unsuitable recommendations, and over-concentrated the account. The complaint settled for $80,000.
If you have complaints regarding Alan Rosenberg, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.