Disciplinary Actions against Andrew G. Rosenberg just announced
Have you suffered financial losses as a result of investments made with Andrew G. Rosenberg? If so, The White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory Authority (FINRA).
Certified Financial Planner Board of Standards, Inc. (CFP Board) announced last week public disciplinary actions against Andrew G. Rosenberg of Weston, FL: In November 2016, CFP Board issued an order permanently revoking Rosenberg’s right to use the CFP® certification marks. This discipline followed Rosenberg’s failure to file an answer to CFP Board’s Complaint within the required timeframe.
CFP Board’s Complaint alleged that Rosenberg entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority, Inc. (FINRA) in which he consented to a three-month suspension from association with any FINRA member in any capacity and a $10,000 fine.
FINRA determined that Andrew G. Rosenberg failed to disclose to investors in a security and to his firm that he was providing legal services for compensation to the issuer of the securities. In addition, the Florida Office of Financial Regulation denied Rosenberg’s Investment Advisor Application based on the findings in FINRA’s AWC.
CFP Board’s Complaint
CFP Board’s Complaint further alleged that Mr. Rosenberg was the subject of multiple FINRA arbitrations in which he was alleged to have: 1) made multiple misrepresentations to clients; 2) recommended and sold unsuitable investments to clients; 3) failed to undertake reasonable investigation of financial products he recommended to clients; 4) failed to disclose the risks of investments to clients; and 5) failed to disclose material information to clients. Mr. Rosenberg’s revocation was effective as of December 7, 2016.
According to Andrew G. Rosenberg’s BrokerCheck Report he has been a registered representative with NFP Securities. He was also registered with Securities America in Palm Beach Gardens, FL from 04/15/2009 – 08/06/2012. He has forty-six (46) disclosures listed on his FINRA Broker Report, including forty-four (44) customer complaints.
If you suffered losses investing with Andrew G. Rosenberg and would like to speak with a securities attorney, call The White Law Group at 1-888-637-5510 for a free consultation.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices located in Chicago, Illinois and Vero Beach, Florida.
For more information on The White Law Group, please visit our website at www.WhiteSecuritiesLaw.com.
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