Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clifford Rosner (Rosner), previously associated with Voya Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosner 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 $200,000.00 on May 12, 2022.
Claimant alleges that recommendations to purchase alternative investments were unsuitable and misrepresented at the time of purchase in 2015.