DID JONATHAN DAVID ROTHMAN CAUSE YOU INVESTMENT LOSSES?
Jonathan Rothman Of Morgan Stanley And Formerly With Rose & Co. Capital Advisors Has A Customer Complaint For Alleged Broker Misconduct
Who is Jonathan Rothman of Morgan Stanley?
Jonathan Rothman (CRD #5571493) who is currently registered with Morgan Stanley and located in Warren, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Jonathan Rothman was associated with Rose & Co. Capital Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Jonathan Rothman Customer Complaint
Jonathan Rothman has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that he did not authorize a liquidity access line for his account. Alleged damages unspecified. Jonathan Rothman’s customer complaint was denied and, to date, the customer has not taken any further action.
Jonathan Rothman Red Flags & Your Rights As An Investor
Of course, Jonathan Rothman 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 Jonathan Rothman at Morgan Stanley and Rose & Co. Capital Advisors on alert to review carefully the activity and performance of their accounts and question whether Jonathan Rothman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and Rose & Co. Capital Advisors also raises questions about the brokerage firm’s 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 Morgan Stanley Due To Jonathan Rothman
If you have questions about Morgan Stanley, Rose & Co. Capital Advisors, and/or Jonathan Rothman 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.