Public records provided by the Financial Industry Regulatory Authority (FINRA) on December 26, 2016 indicate that New York-based Oppenheimer & Company broker/adviser Eric Rosenberg has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rosenberg (CRD# 1027041).
Eric Rosenberg has spent 37 years in the securities industry and has been registered with Oppenheimer & Company in New York, New York since 2013. Previous registrations include RBC Capital Markets in Parsippany, New Jersey (2009-2013) and JB Hanauer & Company in Parsippany, New Jersey (1982-1009). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 20, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 28, 1982; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on January 16, 1982. He is a registered broker and investment adviser with seven US states and territories: California, Connecticut, Florida, New Jersey, New York, Pennsylvania, and Virginia. His self-regulatory organization (SRO) registrations include Cboe Exchange, FINRA, NYSE Arca, Nasdaq ISE, the Nasdaq Stock Market and the New York Stock Exchange.
According to his BrokerCheck report, Eric Rosenberg has received three customer complaints and was terminated from one former employer.
In April 2019 a customer alleged Eric Rosenberg, while employed at Oppenheimer & Company, misrepresented and recommended an unsuitable purchase of an Ohio State Air Quality Development Authority bond. The customer is seeking more than $157,400 in damages in the pending complaint.
In 2016 a customer alleged Eric Rosenberg, while employed at Oppenheimer & Company, made an unauthorized corporate bond purchase. The complaint settled for $35,285.
In 2013 he was discharged from RBC Capital Markets in connection allegations of violations of firm policy concerning customer gifts and gratuities.
In 2010 a customer alleged Eric Rosenberg, while employed at RBC Capital Markets and JB Hanauer & Company, committed fraud, made omissions of material facts, effected unauthorized transactions, and breached contract. The complaint settled for $35,000.
In 1999 a customer alleged he, while employed at JB Hanauer & Company, made unauthorized bond trades. The complaint settled for $12,400.
If you or someone you know has lost money investing with Eric Rosenberg, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.