Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alon Rosin (Rosin), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $985,000.00 on January 07, 2026.
Complainant, an Institutional Investor, alleges misrepresentations in connection with the profit and losses incurred in connection with options trading strategy hedge for Complainant’s equities portfolio. 6/1/2025 to 10/30/2025