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DID BRIAN DAVID ROCKOWITZ CAUSE YOU INVESTMENT LOSSES?

Brian Rockowitz Of Madison Global Partners, Madison Global Advisors And Formerly With Aegis Capital Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Brian Rockowitz of Madison Global Partners?

Brian Rockowitz (CRD #1892992) who is currently registered with Madison Global Partners, Madison Global Advisors and located in Hauppauge, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Madison Global Partners and Madison Global Advisors, Brian Rockowitz was associated with Aegis Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Brian Rockowitz Customer Complaints

Brian Rockowitz has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Brian Rockowitz’s 4 customer complaints were settled in favor of investors. One of Brian Rockowitz’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Brian Rockowitz’s alleged misconduct.

Allegations Against Brian Rockowitz

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Brian Rockowitz’s alleged unsuitable investment recommendations resulting in account losses.
  • Claimant alleged Brian Rockowitz’s unsuitability, breach of contract, breach of fiduciary duty.
  • Client alleged that Brian Rockowitz was not available when the client called him to request a stop loss.
  • Customer alleged after the fact that four solicited trades failed to meet strategy for growth and protection of assets allegedly by Brian Rockowitz.

Brian Rockowitz Red Flags & Your Rights As An Investor

Of course, Brian Rockowitz 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 Brian Rockowitz at Madison Global Partners, Madison Global Advisors, and Aegis Capital on alert to review carefully the activity and performance of their accounts and question whether Brian Rockowitz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Global Partners, Madison Global Advisors, and Aegis Capital also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Madison Global Partners Due To Brian Rockowitz

If you have questions about Madison Global Partners, Madison Global Advisors, Aegis Capital, and/or Brian Rockowitz 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.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $140 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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