Charles Rosenberg, Formerly with Stifel Nicolaus & Company, Subject of Customer Complaints
SANTA BARBARA, CALIFORNIA
Our investment fraud law firm is looking into allegations made against Charles Rosenberg, who previously worked with Stifel Nicolaus. In 2019, a customer brought a complaint against Stifel Nicolaus & Company, alleging that Charles Rosenberg made unsuitable investment recommendations and breach of fiduciary duties. The customer has alleged $979,292 in damages from investments in private placements, as well as stock investments.
Charles Rosenberg worked in an office in Santa Barbara, California while working for Stifel Nicolaus & Company from 2012 to July 2017. Rosenberg had also been the subject of two other customer complaints.
FINRA Rule 3110 provides that securities brokerage firms like Stifel Nicolaus & Company have duties to adequately supervise the conduct of their advisors. If brokerage firms fail to do so, they may be liable to investors for financial losses.
Our law firm has represented over 1,000 investors in FINRA arbitration claims in the past, including claims against Stifel Nicolaus & Company. We represent investors throughout the country, including investors in southern California.
View BrokerCheck: Rosenberg, c BrokerCheck 4.4.22