Publicly available 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 been the subject of customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rosenberg (CRD# 1027041).
Eric Rosenberg has spent 34 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 and JB Hanauer & Company in Parsippany, New Jersey. He is a registered broker and investment adviser with nine US states and territories: California, Connecticut, Florida, Georgia, New Jersey, New York, Pennsylvania, Rhode Island, and Virginia.
According to his BrokerCheck report, Eric Rosenberg has received three customer complaints and was terminated from one former employer.
In April 2016 a customer alleged Eric Rosenberg, while employed at Oppenheimer & Company, executed an unauthorized purchase of a TransOcean corporate bond. The complaint settled for $35,285.
In 2013 Eric Rosenberg was terminated from his position at RBC Capital Markets following allegations he violated company policy regarding client gifts and gratuities.
In 2010 a customer alleged Eric Rosenberg, while employed at RBC Capital Markets and JB Hanauer & Company, executed unauthorized trades, breached contract, committed fraud, acted negligently, and omitted material facts. The complaint settled for $35,000.
In 1999 a customer alleged Eric Rosenberg, while employed at JB Hanauer & Company, executed unauthorized transactions involving Iridium and Grupo Minero bonds. The complaint settled for $12,400.
If you have complaints regarding Eric 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.