According to FINRA records, Robert L. Rosenstein , a stock broker formerly employed by Ladenburg, Thalmann & Co. , discloses the discharge from a Chapter 7 bankruptcy in 2012 and 5 pending judgment/liens. He is currently employed by Moody Capital Solutions.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Rosenstein discloses five judgments/liens, including a lien for $307,666.11 filed in the Superior Court of Fulton County, GA in favor of the Internal Revenue Service.
Rosenstein was employed by Ladenburg Thalmann from 3/2010-7/2011. Prior to that his employment includes Midsouth Capital and Cardinal Securities.
If you have questions about an account handled by Robert L. Rosenstein, call for a no charge consultation.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900