ARNOLD HARRY ROZANY is currently employed as a Broker and/or Investment Adviser at BENJAMIN F. EDWARDS & COMPANY, INC. located at ONE RESERVE ROAD, DANBURY, CT, 06810.
ARNOLD HARRY ROZANY has worked at BENJAMIN F. EDWARDS & COMPANY, INC. since November 12, 2010
Disclosure History
ARNOLD HARRY ROZANY has 2 Disclosure Event(s).
Date: March 19, 1998 Category: Customer Dispute Allegations: ALLEGING BREACH OF FIDUCIARY DUTY AND FAILURETO SUPERVISE, MONITOR, AND APPROPRIATELY ADVISE ABOUT HERACCOUNT. ALLEGING DAMAGES OF APPROXIMATELY $40,000. Damage Amount Requested: $40,000.00 Broker Comment: A.G. EDWARDS & SONS, INC. RESPONDED TO THECLIENT. WE HAVE NOT RECEIVED ANY FURTHER CORRESPONDENCETHEREFORE WE CONSIDER THE MATTER CLOSED.NOT PROVIDED
Date: November 12, 1996 Category: Customer Dispute Allegations: FAILURE TO SUPERVISE THE ACTIVITIES OF CUSTOMER; SEEKING DAMAGES OF $87,507. Damage Amount Requested: $87,507.00 Settlement Amount: $37,500.00 Broker Comment: A. G. EDWARDS SETTLED WITH THE CLIENT FOR$37,500. MR. ROZANY DID NOT CONTRIBUTE TO THE SETTLEMENT.ARNOLD ROZANY WAS NOT THE MANAGER DURING THEMAJORITY OF THE TIME THAT THE ACTS COMPLAINED OF TOOK PLACE.
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