Investors have reportedly disputed the sales practices of securities broker Alon J. Rosin [CRD: 2758070, New York, New York], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rosin has worked for Oppenheimer Co. Inc. since May 13, 2013. Read on to find out more about disclosures involving this securities broker.
Particularly, a client filed a complaint about Alon Rosin. Mainly, the client alleged that Rosin made misrepresentations involving an options trading hedge strategy tied to the client’s equities portfolio. Because of this, the client allegedly incurred damages on options. Consequently, on February 3, 2026, Oppenheimer Co. Inc. settled this matter by paying the client $675,000. The complaint involved alleged activity occurring from June 1, 2025, to October 30, 2025.
Misrepresentation of an options strategy generally refers to a securities broker or financial advisor allegedly providing inaccurate or incomplete information about how an options strategy works, including its risks, costs, or potential outcomes. Clients may claim they were not properly informed about possible losses, volatility, or the speculative nature of options investments before entering trades.
Are you concerned about investments you made through Alon Rosin? If so, reach out to Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for individuals throughout the country. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Rosin and brokerage firms Rosin worked for deny allegations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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