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.
JOHN LAWRENCE ALEX (JOHN L ALEX) has been registered both as a broker and financial advisor with MORGAN STANLEY of Morristown, New Jersey, since11/15/2011. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN L ALEX has 36 years of experience in the securities industry and has been registered with 4 firms. Alex […]
JOSEPH KELLY (JOE KELLY) has been registered as a broker with VCS VENTURE SECURITIES of New York, NY since 6/17/2026. He was previously registered with SPARTAN CAPITAL SECURITIES LLC of New York, NY from 01/13/2017 - 12/18/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH KELLY has 21 years of experience […]
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, […]
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