JeremyRosen (CRD#: 5513416), a registered representative with Nationwide Planning Associates, Inc. (CRD#: CRD#: 31029) in Easton, Pennsylvania, is currently involved in four pending customer disputes over unsuitable investments, according to his BrokerCheck record accessed on May 27, 2020. Read on to learn more about these customer complaints against Jeremy Rosen.
Jeremy Rosen
Jeremy Rosen’s recent troubles began on January 28, 2020, when clients alleged that the investments in their advisory account were unsuitable. The activity in question allegedly took place from 2016 through 2019. The clients further alleged that Jeremy Rosen’s firm at the time, Berthel, Fisher & Company, failed to supervise his actions. The clients are seeking $140,000 in damages and the dispute is pending.
A little over a month later, on March 5, 2020, Jeremy Rosen became involved in a second dispute. Clients alleged that the broker placed them in unsuitable investments, which he misrepresented. The activity in question allegedly took place from 2016. The clients further allege that Berthel, Fisher & Company failed to supervise his actions. The dispute is pending.
One month after this second dispute, Jeremy Rosen became involved in a third dispute. On April 13, 2020, clients alleged that the broker used an unsuitable trading strategy and made false representations from 2016 through 2019. The clients also alleged that Berthel, Fisher & Company failed to supervise Jeremy Rosen’s activities as a broker. The matter is pending.
These three recent disputes are not the only disputes on Jeremy Rosen’s BrokerCheck record. He is involved in a fourth pending customer dispute, while one dispute has settled. On July 8, 2019, a client alleged that Jeremy Rosen acted “recklessly” when he placed them in certain investments. According to BrokerCheck, the client states that Jeremy Rosen “jeopardized their family’s future.” The dispute is pending. On July 3, 2019, a client alleged that Jeremy Rosen did not place her in conservative investments even though she told him she was a conservative investor. The matter was ultimately settled for $110,000.
As mentioned above, in addition to his current role with Nationwide Planning Associates, Inc. (CRD#: CRD#: 31029) in Easton, Pennsylvania, from 2016 through 2019 Jeremy Rosen also served as a broker with Berthel, Fisher & Company Financial Services, Inc. (CRD#: 13609). Prior to that role, he worked for Planned Financial Programs, Inc. (CRD#: 3049).
Jeremy Rosen has passed the Series 65 – Uniform Investment Adviser Law Examination, Series 63 – Uniform Securities Agent State Law Examination, the SIE – Securities Industry Essentials Examination, the Series 7 – General Securities Representative Examination, and the Series 6 – Investment Company Products/Variable Contracts Representative Examination. He is registered to sell securities in New Jersey, New York, Ohio, and Pennsylvania.
If Jeremy Rosen was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta to learn about your options for investment loss recovery. Call (877) 238-4175 or email info@fkesq.com for your free case consultation with a securities attorney.