Edward Isaac Rosenblatt, of Mission Viejo, California, a stockbroker registered with Cetera Advisor Networks LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $200,000.00 in damages based upon allegations that Rosenblatt breached his fiduciary duties and breached a contract, and that Cetera Advisor Networks LLC failed to supervise certain registered representatives in connection with the sale of mutual funds. Financial Industry Regulatory Authority (FINRA) Arbitration No. 23-01791 (June 21, 2023).
FINRA Public Disclosure shows that Edward Rosenblatt was referenced in customer initiated investment related disputes concerning his conduct while associated with securities broker dealers. A customer initiated investment related NASD securities arbitration claim involving Rosenblatt’s conduct was settled for $150,000.00 in damages based upon allegations of unsuitable trading in mutual funds when Rosenblatt was associated with Financial Network Investment Corporation. NASD Arbitration No. 0404641 (June 16, 2005).
On March 30, 2009, a customer filed an investment related complaint involving Rosenblatt’s conduct in which the customer requested $109,678.44 in damages based upon allegations that Rosenblatt made misrepresentations of material fact in connection with the sale of an annuity during the time that Rosenblatt was associated with Financial Network Investment Corporation. The complaint was denied.
Rosenblatt was also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $14,999.00 in damages based upon allegations that Rosenblatt poorly managed the customer’s accounts and engaged in unauthorized trading. FINRA Arbitration No. 10-01383 (May 4, 2010).
On July 11, 2017, a customer initiated investment related complaint involving Rosenblatt’s conduct was settled for $33,777.58 in damages based upon allegations that Rosenblatt misrepresented a mutual fund when Rosenblatt was associated with Cetera Advisor Networks LLC.
Rosenblatt has been associated with Cetera Advisor Networks LLC in Mission Viejo, California, and Newport Beach, California, since September 12, 1995, and with Cetera Investment Advisers LLC since July 8, 1997.
