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.
Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com