Lee Evan Rosenberg, of Jericho, New York, a stockbroker currently registered with Cadaret, Grant & Co., Inc., is the subject of an investment related arbitration claim filed by the customer on February 2, 2017, where the customer sought $250,000.00 in damages founded upon allegations of suitability in reference to the customer’s mutual fund and annuities transactions.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Rosenberg has been identified in three customer initiated investment related disputes concerning allegations of his wrongdoing while employed with Cadaret, Grant & Co., Inc.
In particular, on January 9, 2009, a customer filed an investment related complaint regarding Rosenberg’s conduct, seeking $150,000.00 in damages based upon accusations that the customer’s mutual funds had poorly performed. Subsequently, a customer initiated investment related complaint regarding Rosenberg’s activities was filed on March 26, 2009, wherein the customer requested $650,000.00 in damages supported by allegations of unauthorized trading of stocks in the customer’s account.
Further, on September 20, 2010, a customer initiated investment related complaint concerning Rosenberg was settled for $450,000.00 in damages founded on accusations of Rosenberg’s failure to abide by the customer’s instructions relating to unit investment trusts, mutual funds, equities, over-the-counter equities, as well as municipal and corporate debt investments placed in the customer’s investment portfolio.
Guiliano Law Group
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