Did you suffer losses due to investments with former Berthel, Fisher & Company Financial Services, Inc. broker Jeremy Rosen (CRD# 5513416)? Rosen has been registered with Nationwide Planning Associates Inc. in Easton, Pennsylvania since November 2019. Previously, Rosen was registered with Berthel, Fisher & Company Financial Services, Inc. in Easton, Pennsylvania from 2016 to 2019 and previously with Planned Financial Programs, Inc. in Melville, New York from 2008 to 2015.
Rosen has been the subject of six customer complaints between 2019 and 2020, according to his CRD report:
May 2020. “The clients allege the trading strategy utilized in their advisory account in 2016-2019 were unsuitable and that false representations were made to them. The clients also allege the firm failed to supervise the activities of the representative.” The customer is seeking $1.8 million in damages in this pending customer complaint.
April 2020. “The clients allege the trading strategy utilized from 2016-2019 was unsuitable and that false representations were made to them. The clients also allege the firm failed to supervise the activities of the representative.” The case is currently pending.
March 2020. “The clients allege the investments they made in 2016 through 2019 were unsuitable and misrepresented to them by the representative. The clients also allege the firm failed to supervise the actions of the representative.” The case is currently pending.
January 2020. “The clients allege the investments made in their advisory account in 2016-2019 were unsuitable. The client’s also allege the firm failed to supervise the activities of the representative.” The customer is seeking $140,000 in damages in this pending customer complaint.
July 2019. “The clients allege that between 2016-2019 the advisor invested their advisory accounts recklessly which has jeopardized their family’s future.” The case is currently pending.
July 2019. “The client is alleging that between 2016-2019 she was a conservative investor and that the investment strategy used by her advisor was not conservative.” The case was settled for $110,000.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Berthel, Fisher & Company Financial Services, Inc. may be liable for investment or other losses suffered by Rosen’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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