Investor Seeks Six-Figure Damages in Dispute with Mark Rosenberg

Mark Rosenberg (CRD #: 1103799), a broker registered with Morgan Stanley, is the subject of a pending dispute, according to his BrokerCheck record, accessed on May 12, 2023. If you have questions about his alleged conduct as a broker, keep reading.

Investor Dispute

In a pending dispute filed on April 10, 2023, an investor alleged that Mark Rosenberg violated the suitability rule with regard to alternative investments made from 2020-2021. The client seeks $499,999.99 in damages.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to recommend securities that sufficiently suit an investor’s financial goals. Brokers must take into account the information described in an investor’s profile, such as their age, tax status, and other investments.

Investors who rely on brokers for investment recommendations can potentially recover their losses by pursuing FINRA arbitration.

Background Information

Mark Rosenberg has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination

Mark Rosenberg is a registered broker in 46 states and the District of Columbia. He is also a registered investment adviser in Georgia and Texas.

He has also worked for the following firms:

• UBS Financial Services (CRD#:8174)
• J.C. Bradford & Company (CRD#:1287)
• CIBC World Markets (CRD#:630)
• Prudential Securities (CRD#:7471)
• Bear, Stearns & Company (CRD#:79)     
• Hereth, Orr & Jones (CRD#:7210)

Kurta Law Can Help

If you worked with Mark Rosenberg and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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.