DID THOMAS ROSE CAUSE YOU INVESTMENT LOSSES?
About Thomas Rose Of Edward Jones?
Thomas Rose (CRD #4711678) has been registered as a broker with Edward Jones in Greenville, South Carolina since November 25, 2003. His extensive registration history demonstrates his long-term association with a single firm, showing stability and deep-rooted expertise in the industry. Rose is currently licensed in 20 U.S. states and territories and is registered with four Self-Regulatory Organizations (SROs). He has passed two general industry/product exams (Series 7 and SIE) and two multi-state securities law exams (Series 63 and 66), showcasing a comprehensive grasp of both general and state-specific securities laws.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Thomas Rose Customer Complaints and Reviews
Thomas Rose has one recorded customer dispute:
- Customer Dispute (Closed-No Action / Withdrawn / Dismissed / Denied): Filed on August 11, 2020, a client alleged unauthorized sell orders on January 12, 2007. Although no specific damage amount was claimed, the firm assessed the potential damages to be over $5,000. The complaint was denied on August 18, 2020, following an internal investigation by Edward Jones which supported no wrongdoing by Rose.
Allegations Against Thomas Rose
- Unauthorized Transactions: The complaint against Thomas Rose centered on allegations that he executed sell orders without client authorization. The firm’s investigation concluded that the transactions were conducted within the bounds of firm policies, leading to the denial of the complaint. This incident highlights the critical nature of clear communication and stringent verification processes in client transactions.
Thomas Rose Red Flags & Your Rights As An Investor
Of course, Thomas Rose did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Thomas Rose at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Thomas Rose has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Edward Jones Due To Thomas Rose
If you have questions about Edward Jones and/or Thomas Rose and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
Rate this Post
Loading...