Last Updated: November 2023 (Westport, CT)
Joseph Rozof Investigation Summary
Here’s what you need to know about Westport, CT, stockbroker Joseph:
- Name: Mr. Joseph W. Rozof
- Current Employer: Harley Capital
- Previous Firms: Revere Securities, Aegis Capital, National Securities Corp., Laidlaw & Company
- Function: Stock Broker/ Financial Advisor
- Aliases: Joseph Rozof
- Primary Location: Westport, CT
- CRD 5274784
- Can Joseph Rozof be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $14,500
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Joseph Rozof As Your Stockbroker?
In 10/2019 a customer of Aegis Capital settled a customer complaint alleging Joseph Rozof made unsuitable investment recommendations.
Allegations of Broker Misconduct Against Joseph Rozof
A customer of Joseph Rozof alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
See this for information on our investigations of Revere Securities brokers
If you have suffered investment losses in an account handled by Joseph Rozof, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.