Articles Tagged with Robert Rose

There are Recent Customer Complaints with Broker Robert Rose in Firm Janney Montgomery Scott LLC

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Rose (Rose), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rose 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 $78,000.00 on February 22, 2023.

Letter from customer’s attorney alleging that advisor failed to follow customer instructions pertaining to asset allocation and made unauthorized trades. Client was in a managed account.

There are Recent Customer Complaints with Broker Robert Rose in Firm Wells Fargo Clearing Services, LLC

April 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Rose (Rose), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rose recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 12, 2024.

In or about August 2021, Claimants allege that the financial advisor made unsuitable investments.