| Read Time: 2 minutes |


Brian Rosen Of Southeast Investments N.C. And Formerly With MML Investors Services, MSI Financial Services And New England Securities Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Brian Rosen of Southeast Investments N.C.?

Brian Rosen (CRD #6128645) who is currently registered with Southeast Investments N.C. and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Southeast Investments N.C., Brian Rosen was associated with MML Investors Services, MSI Financial Services, New England Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Brian Rosen Customer Complaints

Brian Rosen has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Brian Rosen’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against MSI Financial Services for investment losses caused by Brian Rosen’s alleged misconduct.

Allegations Against Brian Rosen

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

  • Customers alleged Brian Rosen’s recommendation to purchase variable annuities was not the most suitable choice for them and the product was misrepresented.
  • The complainants alleged that Brian Rosen made unauthorized changes to the subaccounts within their variable annuity.
  • The customer alleged that Brian Rosen’s poor advice and recommendations left her with little life insurance and in a financial position she would never have chosen if given the correct information.

Brian Rosen Red Flags & Your Rights As An Investor

Of course, Brian 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 Brian Rosen at Southeast Investments N.C., MML Investors Services, MSI Financial Services, and New England Securities on alert to review carefully the activity and performance of their accounts and question whether Brian Rosen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Southeast Investments N.C., MML Investors Services, MSI Financial Services, and New England Securities 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 Southeast Investments N.C. Due To Brian Rosen

If you have questions about Southeast Investments N.C., MML Investors Services, MSI Financial Services, New England Securities, and/or Brian 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.

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 $170 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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars