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Todd Rosenzweig, National Securities broker, Named in FINRA Investigation, Broker Alert

National SecuritiesTodd Rosenzweig, National Securities broker, Named in FINRA Investigation, Broker Alert.

National Securities broker Todd Rosenzweig, New York, has customer complaints. The investment recovery lawyers at StockBrokerLawyer.com are ready to help additional customers recover their investment losses or complaints regarding Mr. Rosensweig (CRD# 2541880).

Todd Rosenzweig has spent twenty years in the securities industry and hasworked for National Securities in New York, New York since May 2015. Before that he worked for other New York firms, including Andrew Garrett in New York, New York; Ladenburg Thalmann & Company in New York, New York. He is a registered broker with eight US states: California, Michigan, New Jersey, New York, Ohio, Puerto Rico, Texas, and Washington.

According to the FINRA BrokerCheck report, Todd Rosenzweig has one customer complaint, two pending customer complaints, and one FINRA investigation.

In July 2015 a customer said that Todd Rosenzweig, engaged in unspecified misconduct related to an investment in a Gorham Fund. The customer is seeking $40,000 in damages in the pending complaint.

In June 2015 Todd Rosenzweig was named in a FINRA investigation into allegations he distributed unapproved marketing materials. The investigation remains pending.

In June 2015 a customer alleged Todd Rosenzweig, provided poor performance and used “receipt of proceeds of investment held away to purchase securities without client’s knowledge.” The customer is seeking damages exceeding $68,000 in the pending complaint.

If you or someone you know has lost money investing with Todd Rosenzweig, call (888) 986-7199 or write the investment recovery lawyers at StockBrokerLawyer.com for a free no-cost consultation. We can help recover your losses and seek other damages, too.

You can use the email form or chat on StockBrokerLawyer.com You may be entitled to recover your losses. We work on contingency: we are paid only when you are paid. Time is limited; delay is the favorite defense of the brokerage firms. Call 888-986-7199 now to speak to an attorney for a no cost evaluation.


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