DID JAMES D. ROSEN CAUSE YOU INVESTMENT LOSSES?
About James Rosen Of J.P. Morgan Securities LLC?
James Rosen (CRD #5491456) is currently employed by J.P. Morgan Securities LLC in Winnetka, Illinois, where he has been registered since October 1, 2012. Rosen has a broad registration across 23 U.S. states and territories and is affiliated with 25 self-regulatory organizations. He has passed two general industry/product exams and one multi-state securities law exam, showcasing a strong foundation in securities knowledge and regulatory compliance. Before his current position, Rosen was associated with several well-known firms, including Chase Investment Services Corp. and Charles Schwab & Co., Inc., suggesting a diverse experience in the securities industry.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
James Rosen Customer Complaints and Reviews
James D. Rosen has one reported customer dispute:
- Customer Dispute (1 incident):
- Date Complaint Received: October 14, 2020
- Allegations: The client alleged misrepresentation regarding an investment in mutual funds, specifically occurring on January 22, 2020. The complaint involved claimed damages of $13,817.00.
- Outcome: The dispute was denied by the firm on October 20, 2020, with no settlement required from Rosen, indicating that the firm found no basis for the client’s claims.
Allegations Against James Rosen
- Misrepresentation in Investment Handling:
- Concerning Products: Mutual Funds
- Details: Allegation of misrepresentation during a transaction made on January 22, 2020.
- Resolution: The complaint was thoroughly reviewed and subsequently denied, concluding that the allegations were unfounded. No financial restitution was required from Rosen, affirming the firm’s support in his handling of the situation.
James Rosen Red Flags & Your Rights As An Investor
Of course, James Rosen 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 James Rosen at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether James Rosen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC 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 J.P. Morgan Securities LLC Due To James Rosen
If you have questions about J.P. Morgan Securities LLC and/or James Rosen 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.
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