Jeremy Rosen, Broker for Nationwide Planning Associates, Inc., Accused of Making Unsuitable Recommendations

Rosen has been named in an investor dispute alleging that he recklessly invested funds.

The Sonn Law Group is investigating allegations that Jeremy Rosen committed misconduct. If you or a family member has suffered losses investing, we want to discuss your case. Please contact us today, or call us at 866–827–3202 for a free consultation.

Jeremy Rosen (CRD#: 5513416) has been named in multiple investor disputes during his time at Berthel, Fisher & Company Financial Services, Inc.

Two of Rosen’s former clients brought disputes about Rosen’s sales techniques while employed by the firm.

The disputes allege that Rosen made reckless and unsuitable transactions and was responsible for investors’ losses.

The first claim alleges that Rosen recklessly invested funds. Rosen’s BFC Planning, Inc. advisory clients brought a formal dispute about him on July 8, 2019.

The clients specifically alleged that Rosen recklessly invested their assets from 2016 to 2019. Rosen allegedly lacked a reasonable basis to believe that the stock trades he made were suitable for clients. In fact, clients stated that Rosen’s activity have “jeopardized their family future.” For that reason, the clients demanded compensatory relief in this ongoing matter. Rosen denies these allegations. 

The second client, another client from BFC Planning, contested Rosen’s sales practices. In the complaint, the client claimed that Rosen made unsuitable recommendations. Allegedly, between 2016 and 2019, the client maintained conservative investment objectives or risk aversion. Rosen allegedly recommended an investment strategy involving corporate debt and stock trades that was anything but conservative. Because of this, the client purportedly incurred losses and now seeks compensatory relief. 

Rosen was formerly associated with Planned Financial Programs, Inc. from 2008 to 2015 and with Berthel Fisher from 2016 to 2019.

The Sonn Law Group is currently investigating allegations that brokers recommended unsuitable investments. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now 866-827-3202 at complete our contact form.