ELIZABETH ANN ROHRMAN

ELIZABETH ANN ROHRMAN is currently employed as a Broker and/or Investment Adviser at FIDELITY BROKERAGE SERVICES LLC located at 101 UNIVERSITY BLVD, DENVER, CO, 80206.

ELIZABETH ANN ROHRMAN has worked at FIDELITY BROKERAGE SERVICES LLC since August 11, 2011

Disclosure History

ELIZABETH ANN ROHRMAN has 1 Disclosure Event(s).

Date: December 29, 2017
Category: Customer Dispute
Allegations: The Power of Attorney for the customer complained that the customer was placed into a managed account without any discussion of the tax consequences of liquidating the positions used to fund the account.
Damage Amount Requested: $7,600.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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