PHILIP E ROSENSWEIG is currently employed as a Broker and/or Investment Adviser at WESTPARK CAPITAL, INC. located at 225 NE MIZNER BLVD, SUITE 750, BOCA RATON, FL, 33432.
PHILIP E ROSENSWEIG has worked at WESTPARK CAPITAL, INC. since August 24, 2015
Disclosure History
PHILIP E ROSENSWEIG has 10 Disclosure Event(s).
Date: March 24, 2016 Category: Customer Dispute Allegations: CLIENT ALLEGES BREACH OF FIDUCIARY DUTY, NEGLIGENCE, FRAUD AND BREACH OF CONTRACT FROM 2014 TO 2016. Damage Amount Requested: $100,000.00 Settlement Amount: $45,500.00 Broker Comment: I believe this arbitration claim has no merit and that the statements made in the arbitration claim are false. The individual was a sophisticated investor who wanted to purchase new issues because of the potential for profit in a short period of time. This claim will be vigorously defended and a request for expungement will be made on behalf of Mr. Rosensweig.
Date: March 24, 2016 Category: Customer Dispute Allegations: CLIENT ALLEGES BREACH OF FIDUCIARY DUTY, NEGLIGENCE, FRAUD AND BREACH OF CONTRACT FROM 2015 TO 2016. Damage Amount Requested: $60,000.00 Settlement Amount: $45,500.00 Broker Comment: I believe this arbitration claim has no merit and that the statements made in the arbitration claim are false. The individual was a sophisticated investor who wanted to purchase new issues because of the potential for profit in a short period of time. This claim will be vigorously defended and a request for expungement will be made on behalf of Mr. Rosensweig.
Date: March 24, 2016 Category: Customer Dispute Allegations: CLIENT ALLEGES BREACH OF FIDUCIARY DUTY, NEGLIGENCE, FRAUD AND BREACH OF CONTRACT FROM 2014 TO 2016. Damage Amount Requested: $75,000.00 Settlement Amount: $45,500.00 Broker Comment: I believe this arbitration claim has no merit and that the statements made in the arbitration claim are false. The individual was a sophisticated investor who wanted to purchase new issues because of the potential for profit in a short period of time. This claim will be vigorously defended and a request for expungement will be made on behalf of Mr. Rosensweig.
Date: October 02, 2006 Category: Customer Dispute Allegations: [CUSTOMER] ALLEGED UNAUTHORIZED TRADES 12/28/2005. [CUSTOMER] THEN STATED THAT HE THOUGHT HE WAS CALLING ANOTHER BROKER/DEALER WHEN HE PLACED THE TRADES AT GUNNALLEN. [CUSTOMER] IS NOW DECEASED. Damage Amount Requested: $10,000.00 Settlement Amount: $1,800.00 Broker Comment: MR. ROSENSWEIG STRONLY DISAGREES WITH THE CLIENT ON THIS MATTER.
Date: May 22, 2003 Category: Customer Dispute Allegations: MISMANAGEMENT OF ACCOUNT Damage Amount Requested: $500,000.00
Date: July 26, 2002 Category: Customer Dispute Allegations: CHURNING, UNSUITABLE RECOMENDATIONS Damage Amount Requested: $74,000.00 Broker Comment: THE MATTER WAS INVESTIGATED BY NASD ATLANTA DISTRICT OFFICE AND FILED WITHOUT ACTION
Date: May 17, 1999 Category: Customer Dispute Allegations: CLIENT ALLEGES FEDERAL AND CALIFORNAIA SECURITIES VIOLATIONS, AS WELL AS VARIOUS TORT CLAIMS, IN CONNECTION WITH SECURITIES TRANSACTIONS FROM 1997 TO 1999. BROKER DENIES WRONGDOING. SUCCESSOR TRUSTEE SPECIFICALLY INVOLVED WITH AND ENDORSED ALL TRANSACTIONS. BROKER HAS COUNTERCLAIMED AGAINST TRUSTEE. Damage Amount Requested: $320,616.63 Settlement Amount: $16,000.00 Broker Comment: N/ANOT PROVIDED
Date: May 10, 1999 Category: Customer Dispute Allegations: CLIENT ALLEGED UNSUITABLE TRADING IN THEIRACCOUNT & FAILURE TO FOLLOW INSTRUCTIONS. ALLEGED DAMAGES NOTSPECIFIED. EMPLOYING FIRM - MORGAN STANLEY DEAN WITTER Settlement Amount: $4,999.00 Broker Comment: N/ANOT PROVIDED
Date: November 03, 1997 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT AE PROVIDED HIM WITHFALSE AND MISLEADING INFORMATION ABOUT GUCCI STOCK. Broker Comment: COMPLAIN REJECTED AS TOTALLY WITHOUT MERIT.I VEHEMENTLY DENY THE ALLEGATION. I ONLYREPRESENTED THE FACTS WHICH I BELIEVED TO BE ACCURATE AND TRUEBASED ON RESEARCH.
Date: January 01, 1995 Category: Customer Dispute Allegations: CUSTOMER ALLEGED INTER OLIA, SUITABILITYVIOLATIONS IN CONNECTION WITH STOCK TRADING. Damage Amount Requested: $138,349.00 Damages Granted: $52,881.01 Broker Comment: FOLLOWING AN NASD ARBITRATION HEARING, NASDPANEL AWARDED [CUSTOMER] $52,881.02THE FIRM DISAGREES WITH THE DECISION OF THEARBITRATORS IN THIS MATTER AND DOES NOT BELIEVE [CUSTOMER] WASENTITLED TO ANY RECOVERY
More Information
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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.
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