SCOT BRIAN ROSENBERG is currently employed as a Broker and/or Investment Adviser at THE GMS GROUP, LLC located at 2600 N Military Trail, Suite 400, BOCA RATON, FL, 33431.
SCOT BRIAN ROSENBERG has worked at THE GMS GROUP, LLC since December 01, 2000
Disclosure History
SCOT BRIAN ROSENBERG has 5 Disclosure Event(s).
Date: March 17, 2016 Category: Customer Dispute Allegations: Misrepresentation and Unsuitable Investments Damage Amount Requested: $23,889.00 Settlement Amount: $20,727.39
Date: December 10, 2008 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT SHE DID NOT AUTHORIZE THE PURCHASE OF A MUNICIPAL BOND IN AUGUST 2008. Damage Amount Requested: $10,380.00 Broker Comment: THE FIRM FOUND COMPLAINT TO BE WITHOUT MERIT
Date: October 18, 2008 Category: Customer Dispute Allegations: THE CLIENT ALLEGES CERTAIN SECURITIES PURCHASED IN HER ACCOUNT IN SEPTEMBER 2008 WERE UNAUTHORIZED. Damage Amount Requested: $37,413.48
Date: November 02, 2007 Category: Customer Dispute Allegations: THE CLIENT ALLEGES VIOLATION OF RULES AND REGULATIONS GOVERNING SECURITIES TRANSACTIONS. Broker Comment: FIRM DID NOT RECEIVE A COMPLAINT FROM THE CLIENT. THE FIRM CLOSED THE COMPLAINT SINCE THE COMPLAINT WAS SUBMITTED BY A THIRD PARTY AND NEVER CONFIRMED BY THE CLIENT.
Date: December 12, 2005 Category: Customer Dispute Allegations: THE CLIENT ALLEGES MISREPRESENTATION IN CONNECTION WITH A SECURITY PURCHASED IN SEPTEMBER 2005. Damage Amount Requested: $6,350.00 Broker Comment: THE FIRM CONDUCTED AN INVESTIGATION AND CONCLUDED THE COMPLAINT WAS WITHOUT MERIT.
More Information
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