Harry Rosenberg, previously with Voya Financial Advisors, Suspended Two Months by FINRA
Have you lost money with financial advisor Harry Rosenberg? We are looking into allegations made about Harry Rosenberg from Woodcliff Lake, New Jersey. FINRA (the Financial Industry Regulatory Authority) suspended Rosenberg from the securities industry for two months and fined him $8,000. FINRA was investigating Rosenberg after he allegedly did not disclose private securities transactions to his former brokerage firm, Voya Financial Advisors. Rosenberg was alleged to have sold investments in a gold mining company and then failed to disclose that he was sued in court over this investment.
Harry Rosenberg was a financial advisor and registered representative of Voya Financial Advisors from January 2011 to May 2019. He worked in a branch office in Woodcliff Lake, New Jersey. Rosenberg was also terminated by Voya Financial Advisors.
Brokerage firms like Voya Financial Advisors have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including New Jersey. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Voya Financial Advisors.