Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 2, 2018 indicate that Florida and New York-based Cadaret Grant & Company broker/adviser Lee Rosenberg has been involved in several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rosenberg (CRD# 1010402).
Lee Rosenberg has spent 34 years in the securities industry and has been registered with Cadaret Grant & Company in Jericho, New York and Boca Raton, Florida since 1990. Previous registrations include Nathan & Lewis Securities (1982-1988); Home Life Equity Sales Corporation (1982-1984); and Home Life Insurance Company (1981-1984). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 3, 1986; Series 22 (Direct Participation Programs Representative Examination), which he obtained on January 7, 1983; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on December 4, 1981. He is a registered broker and investment adviser with 25 US states and territories: Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Indiana, Iowa, Maine, Maryland, Massachusetts, Minnesota, Nevada, New Jersey, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, Texas, Virginia, and Washington
According to his BrokerCheck report, he has received three customer complaints.
In June 2017 a customer alleged Lee Rosenberg, while employed at Cadaret Grant & Company, failed to timely determine that an annuity’s benefit base was impacted by withdrawals. The complaint settled for $180,000.
In 2017 the children of two customers alleged Lee Rosenberg, while employed at Cadaret Grant & Company, recommended unsuitable investments, misrepresented material facts, and engaged in annuity switching. The complaint settled for $27,500.
In 2009 a customer alleged Lee Rosenberg, while employed at Cadaret Grant & Company, failed to follow the customer’s instructions regarding mutual funds, unit investment trusts, and other investments. The complaint settled for $450,000.
If you have complaints regarding Lee Rosenberg, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.