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Charles Edward Rosenberg Formerly With Stifel, Nicolaus & Company Has A Customer Complaint For Alleged Broker Misconduct In the Past 2 Years

Who is Charles E. Rosenberg formerly with Stifel, Nicolaus & Company?

Charles Rosenberg (CRD #404350) who was formerly registered with Stifel, Nicolaus & Company and located in Santa Barbara, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel, Nicolaus & Company, Charles Rosenberg was associated with 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Stifel, Nicolaus & Company Broker Misconduct

In his career, Charles Rosenberg has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. Two of the customers complaints were denied by Charles Rosenberg’s former employers and the customers did not take any further action. There is currently one pending customer complaint filed against Charles Rosenberg’s former employer Stifel, Nicolaus & Company for investment losses caused by his alleged misconduct.

Allegations Against Charles Rosenberg  

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

  • Client alleged Charles Rosenberg made misrepresentations about investing in corporate debt investments.
  • Client alleged that Charles Rosenberg made misrepresentations concerning a limited partnership investment.
  • Claimant alleged negligence, misrepresentations and omissions unsuitable investment recommendations, breach of fiduciary duty and elder abuse in the most recent claim that is still pending. 

Charles Rosenberg Red Flags & Your Rights As An Investor

Of course, Charles Rosenberg 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 Charles Rosenberg at Stifel, Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Charles Rosenberg has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Stifel, Nicolaus & Company, which also raises questions about 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 Stifel, Nicolaus & Company

If you have questions about Stifel, Nicolaus & Company and/or Charles Rosenberg 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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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.

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