October 12, 2015 – Granger, Indiana
Albert Lee Rosebush , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that Rosebush violated FINRA rules by filing late amendments to FINRA Form U4 to report six tax liens against him totaling over $198,000. In four instances Rosebush failed to report tax liens totaling over $23,000.
AWC No. 2013036065701
Rosebush was fined $5,000 and suspended for one year from association with any FINRA member in any capacity.
According to FINRA records, Rosebush was registered with FINTEGRA LLC from 1/2013-9/2015. Prior to that he was registered with Signator Investors from 1/1995-12/2012.
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