January 2019- Boca Raton, FL
According to publicly available records Philip E. Rosensweig , a stockbroker who formerly was registered with Laidlaw & Co. and who is currently employed by Westpark Capital, discloses 10 prior customer disputes.
The Financial 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.
Prior customer disputes that were settled include FINRA Case 16-0636 in which a customer of Laidlaw & Co. alleged fraud, negligence and breach of contract from 2014-2016 and was paid a cash settlement of $45,500.
Philip Rosensweig worked for Laidlaw &Co. from 9/2013-9/2015. Prior to that he was employed by International Assets Advisory. He has been with Westpark Capital since 8/2015.
If you have questions about an investment account handled by Philip Rosensweig, contact us for a no charge consultation to learn about your legal options.
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.
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