Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Rockowitz (Rockowitz), currently associated with Madison Global Partners LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rockowitz 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 $106,882.07 on April 26, 2021.
Time frame: December 2012 – November 2020. Claimant(s) allege unsuitable investment recommendations