DID RONA SARI ROSENBERG CAUSE YOU INVESTMENT LOSSES?
Rona Rosenberg Formerly With MML Investors Services And NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct
Who is Rona Rosenberg formerly with MML Investors Services?
Rona Rosenberg (CRD #5737707) who was formerly registered with MML Investors Services and located in Tarrytown, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Rona Rosenberg was associated with NYLIFE Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Rona Rosenberg Customer Complaint
Rona Rosenberg 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 the representative did not disclose the contract’s surrender charges. Rona Rosenberg’s customer complaint was denied and, to date, the customer has not taken any further action.
Rona Rosenberg Red Flags & Your Rights As An Investor
Of course, Rona 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 Rona Rosenberg at MML Investors Services and NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Rona Rosenberg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services and NYLIFE Securities 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 MML Investors Services Due To Rona Rosenberg
If you have questions about MML Investors Services, NYLIFE Securities, and/or Rona 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.