Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Rosen (Rosen), currently associated with Southeast Investments, N.c., INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $520,000.00 on March 30, 2020.
Customers alleged the advisor’s recommendation to purchase variable annuities, in October 2014,\<char_lb_r>\, was not the most suitable choice for them and the product was misrepresented.