Rose Marie Jentz (CRD #2203704) Has a Civil Disclosure on FINRA BrokerCheck

Rose Marie Jentz (CRD #2203704) is currently registered with Capital Client Group, Inc. according to FINRA BrokerCheck. We reviewed her BrokerCheck report on March 19, 2026. It reflects one pending civil disclosure. If you invested with Rose Marie Jentz and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Civil Disclosures

Rose Jentz’s FINRA BrokerCheck report reflects one pending civil disclosure. A summary is below:

On January 9, 2026, James J. Lukezic filed a civil action in the U.S. District Court for the District of Columbia. Rose Jentz’s FINRA BrokerCheck report states that Capital Client Group, Inc. was added to a lawsuit brought by an advisor at Old Slip Capital after clients complained about unauthorized transactions in accounts held with American Funds Service Co. The advisor denies making the trades. In January 2026, the advisor added Capital Client Group and Rose Jentz to the case and alleged defamation and interference with contractual and prospective business relationships. The matter remains pending. Rose Jentz’s broker statement says a motion to dismiss is forthcoming.

Rule Summary #1: FINRA Rule 3260 (Discretionary Accounts)

FINRA Rule 3260 addresses discretionary trading authority in customer accounts. It is often relevant when a disclosure involves claims that trades were made without proper customer authorization. 

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires firms and associated persons to observe high standards of commercial honor and just and equitable principles of trade. Disclosures involving unauthorized transactions or related misconduct often raise Rule 2010 issues. 

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on Her FINRA BrokerCheck report, Rose Jentz:

Is currently registered with Capital Client Group, Inc.

Is registered with 1 self-regulatory organization and 0 U.S. states or territories.

Has passed the Securities Industry Essentials (SIE) exam. Rose Jentz has also passed Series 24, Series 51, Series 26, Series 7TO, and Series 6.

Kurta Law Can Help

If you have worked with Rose Jentz and you have concerns about her activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Security Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.