Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that New York-based National Securities Corporation broker/adviser Ronald Rothchild has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rothchild (CRD# 4491932).
Ronald Rothchild has spent 15 years in the securities industry and has been registered with National Securities Corporation in Melville, New York since 2017. Previous registrations include Raymond James Financial Services in Garden City, New York (2011-2016) ;Wells Fargo Advisors in Great Neck, New York (2005-2011); and David Lerner Associates in Syosset, New York (2002-2005). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 30, 2017; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 5, 2002; and Series 7 (General Securities Representative Examination), which he obtained on March 22, 2002. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received two customer complaints and two pending customer complaints.
In July 2018 a customer alleged Ronald Rothchild, while employed at Raymond James Financial Services, acted negligently, breached contract, breached his fiduciary duty, was negligent in his supervisory duties, and over-concentrated the account between July 2011 and July 2016. The customer is seeking $100,000 in damages in the pending complaint.
In March 2018 a customer alleged Ronald Rothchild, while employed at Raymond James Financial Services, misrepresented and recommended unsuitable investments, and incorrectly stated her investment objectives and risk tolerance on paperwork. The customer is seeking more than $149,200 in damages in the pending complaint.
In 2016 a customer alleged Ronald Rothchild, while employed at Raymond James Financial Services, acted negligently, made misrepresentations and omissions of material facts, breached contract, breached his fiduciary duty, and acted negligently. The complaint settled for $48,000.
In 2016 a customer alleged he, while employed at Raymond James Financial Services, made unsuitable investment recommendations and executed unauthorized trades. The complaint settled for $132,000.
If you or someone you know has lost money investing with Ronald Rothchild, 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.