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Investor Alleges Alex Rosen Misrepresented Variable Annuities

Nov 14, 2022 Misrepresentation

Alex Rosen (CRD #: 6125876), a broker registered with Equitable Advisors, allegedly misrepresented variable annuities, according to his BrokerCheck record, accessed on October 31, 2022. Read on if you have questions about his conduct as a broker.

Investor Dispute

On September 19, 2022, an investor alleged that Alex Rosen misrepresented variable annuities purchased in 2021 and 2022. Variable annuities are complex investments that can easily lose money. This dispute is currently pending. 

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of deception, manipulation, and other unethical means of influencing investors’ decisions. This includes the misrepresentation or omission of information, such as an investment’s requirements, limitations, or risks.

FINRA Rules 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Alex Rosen has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Alex Rosen is a registered broker in eight states and a registered investment adviser in six states.

He previously worked for Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691).

Kurta Law Can Help

If you worked with Alex Rosen and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.