Owen Rosenblum Allegedly Charged Excessive Commissions in a Customer Account

Owen RosenblumPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that Ohio-based Oppenheimer & Company broker/adviser Owen Rosenblum has received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rosenblum (CRD# 1251823).

Owen Rosenblum has spent 33 years in the securities industry and has been registered with Oppenheimer & Company in Beachwood, Ohio since 2012. Previous registrations include Wells Fargo Advisors in Cleveland, Ohio; McDonald Investments in Cleveland, Ohio; Cowen & Company in New York, New York; and Painewebber. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with eleven US states and territories: Arizona, California, Florida, Illinois, Massachusetts, Michigan, New Jersey, New Mexico, New York, Ohio, and Tennessee.

According to his BrokerCheck report, he has received two customer complaints.

In 2012 a customer alleged Owen Rosenblum, while employed at Wells Fargo Advisors, charged excessive commissions and should have put them in a fee based program. The complaint settled in 2013 for $105,000.

In 2003 a customer alleged Owen Rosenblum, while employed at First Union Securities (now known as Wachovia Securities), breached his fiduciary duty, committed fraud, acted negligently, breached contract, and misrepresented material facts. The complaint settled in 2005 for $137,500.

If you or someone you know has complaints regarding Owen Rosenblum, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.


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