Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Rosenbach (Rosenbach), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rosenbach 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 $78,579.00 on April 20, 2022.
Client complained that a tax loss harvesting strategy in her managed accounts was ultimately not in her best interest. (1/1/2019-12/31/2020)