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Rosaline Alam Involved in an Investor Dispute

Rosaline Alam (CRD #: 5742202), a broker registered with Lincoln Investment, is the subject of an investor dispute. This is according to her BrokerCheck record, accessed on February 21, 2024. Keep reading for more information. 

Investor Allegations

On December 8, 2023, an investor alleged that Rosaline Alam did not fully disclose all the facts regarding surrender charges and fees associated with an investment. 

Misrepresentation and Omission 

FINRA Rule 2020 prohibits the use of manipulation, deception, and other fraudulent methods to influence investors’ decisions. This includes the misrepresentation or omission of information, such as an investment’s surrender charges and fees.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 also violate this rule. 

Background Information 

Rosaline Alam has passed the following exams:

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

She is a registered broker in Illinois and Nevada. She is registered as both a broker and an investment adviser in California. 

Rosaline Alam has registered with the following firms: 

  • Lincoln Investment (CRD #: 519) 
  • Capital Analysts (CRD #: 162200) 
  • Prudential Financial Planning Services (CRD #: 5685) 
  • NYLife Securities (CRD #: 5167)
  • Waddell & Reed (CRD #: 866) 

Kurta Law Can Help 

If you have worked with Rosaline Alam and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.

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