Jeremy Seth Rosen of Easton Pennsylvania a stockbroker formerly registered with Nationwide Planning Associates Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $1,535,568.66 in damages founded on allegations that Rosen made misrepresentations to them regarding stock trades during the period that he was associated with Nationwide Planning Associates, NPA Asset Management LLC, and BFC Financial Planning Inc. Financial Industry Regulatory Authority (FINRA) Arbitration No. 20-04136 (Jan. 22, 2021). According to the claim, Rosen’s unsuitable trading caused the customer to suffer losses.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Rosen has been identified in nine other customer initiated investment related disputes containing accusations of his misconduct while he was employed by BFC Planning Inc. On May 11, 2020, a customer filed an investment related FINRA securities arbitration claim involving Rosen’s activities where the customer requested $1,800,000.00 based on allegations of BFC Planning’s failure to supervise Rosen’s equity trading in the customer’s account. FINRA Arbitration No. 20-01460. The claim alleges that the customer received false information in relation to equities trades. Their advisory account was allegedly invested in an unsuitable strategy because of Rosen from 2016 to 2019.
On December 22, 2020, a customer initiated investment related AAA arbitration claim concerning Rosen’s activities was settled for $339,000.00 in damages supported by accusations that BFC Planning failed to supervise Rosen’s actions relating to stock and corporate debt investments for the customer’s account between 2016 and 2019. AAA Arbitration No. 01-20-0001-6101. The claim alleges that Rosen made unsuitable trades and misrepresented information regarding the transactions.
Rosen has also been referenced in a customer initiated investment related AAA arbitration claim which was resolved for $955,501.00 in damages founded on allegations of unsuitable trading by Rosen at BFC Planning Inc. AAA Arbitration No. 01-20-0004-8805 (Dec. 22, 2020). The claim alleges that Rosen made false representations concerning a trading strategy that was implemented in the customer’s account between 2016 and 2019. Accusations additionally include BFC Planning failing to supervise Rosen’s activities.
A different customer initiated investment related AAA arbitration claim regarding Rosen’s conduct was settled on December 22, 2020 for $44,400.00 in damages based upon allegations of an unsuitable strategy recommended by Rosen for the customer’s account at BFC Planning. AAA Arbitration No. 01-20-0005-4235. The claim alleges false representations and failure to supervise.
Rosen is the subject of another customer initiated investment related FINRA securities arbitration claim which was resolved for $680,000.00 in damages based on accusations of the trading strategy being unsuitable for the customer and Rosen misrepresenting information concerning the strategy. AAA Arbitration No. 01-20-0005-480 (Dec. 22, 2020).
On December 22, 2020, an additional customer initiated investment related AAA arbitration claim involving Rosen’s activities was settled for $225,000.00 in damages founded on accusations of Rosen failing to act in the customer’s best interest concerning a stock trading strategy during the time that he was associated with BFC Planning Inc. AAA Arbitration No. 01-20-0015-5058. The securities broker dealer is accused of the failure to supervise Rosen resulting in unsuitable trading.
Rosen was registered with Berthel Fisher Company Financial Services between January 4, 2016 and November 8, 2019. He was registered with Nationwide Planning Associates Inc. between November 14, 2019 and January 6, 2021.
