Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
Investors have reportedly disputed the sales practices of securities broker Leo Rosner [CRD: 1011519, Beachwood, Ohio], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rosner worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. since August 2, 2019, after previously being registered with SagePoint Financial Inc. from November 13, 2017, to July 23, 2019. See the following information to find out more about disclosures involving this securities broker.
Evidently, a Cambridge Investment Research Inc. client filed FINRA Arbitration No. 23-03165 about Leo Rosner. Primarily, the client alleged that Rosner made unsuitable recommendations and misrepresentations. Because of this, the client allegedly incurred damages relating to real estate securities. Consequently, on December 18, 2024, Cambridge Investment Research Inc. settled this matter by paying the client $42,000 in damages.
Notably, a client of Cambridge Investment Research Inc. disputed Leo Rosner’s sales practices, according to a complaint dated December 4, 2013. Allegedly, Rosner recommended that the client switch from one insurance product to another and oversold the policy, which the client claimed resulted in a financial benefit to the representative. It appears that Rosner allegedly caused the client to suffer damages linked to variable annuities and life insurance products. As a result, the client sought compensation from Cambridge Investment Research Inc. or Rosner in the amount of $10,000 in this matter. However, the firm denied this complaint.
Do you have questions or concerns regarding investments you made with Leo Rosner? If so, reach out to Soreide Law Group at (888) 760-6552 or online and talk to a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of investors throughout the United States. Also, our securities attorneys work on a contingency fee arrangement and advance all costs. Rosner and brokerage firms Rosner worked for deny any accusations of sales practice violations.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
A customer dispute that settled for $80,000 on July 16, 2026 is the newest entry on the BrokerCheck report of Stephen Kerutis (CRD 2345517). The clients in that matter alleged unsuitable recommendations, and Truist Investment Services is the firm on the disclosure.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
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