Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janna Rosenberg (Rosenberg), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rosenberg 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 $6,000.00 on March 19, 2022.
The customer alleges misrepresentation and omission of material facts regarding a preferred stock purchase in January of 2022. The customer also alleges that the advisor did not have his best interest when recommending the preferred stocks.