Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Jeremy Rosen (Rosen), currently employed by Nationwide Planning Associates Inc. (Nationwide Planning) has been subject to at least four customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), Rosen’s customer complaints alleges that Rosen recommended unsuitable investments in various investments among other allegations of misconduct relating to the handling of their accounts.
In March 2020 a customer complained that Rosen violated the securities laws by alleging that Rosen made investments in 2016 through 2019 that were unsuitable and misrepresented to them. The clients also alleged that the firm failed to supervise the actions of Rosen. The claim is currently pending.
In January 2020 a customer complained that Rosen violated the securities laws by alleging that Rosen made investments in 2016 through 2019 that were unsuitable and misrepresented to them. The clients also alleged that the firm failed to supervise the actions of Rosen. The claim seeks $140,000 in damages and is currently pending.
In July 2019 a customer complained that Rosen violated the securities laws by alleging that Rosen made investments in 2016 through 2019 recklessly which has jeopardized their family’s future. The claim is currently pending.