Last Updated: April 2025, Boca Raton, FL/ New York. NY
Helen Rothlein Investigation Summary
Here’s what you need to know about Boca Raton, FL / New York, NY, , stockbroker Helen Rothlein:
- Name: Helen Susan Rothlein
- Current Employer: Morgan Stanley
- DBA: Morgan Stanley
- Prior Employers: Citigroup Global Markets Inc., Wachovia Securities LLC, Prudential Securities Incorporated, Shearson Lehman Hutton Inc., E. F. Hutton & Company Inc.
- Function: Stockbroker / Financial Advisor
- Aliases: Helen Rothlein Dipippo
- Primary Location: Boca Raton, FL
- CRD: 709040
- Can Helen Rothlein be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award:$12,600
- Pending Customer Dispute Seeks Damages of:$429,000
If you’ve sustained damages from Ms. Rothlein, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Helen Rothlein As Your Stockbroker?
A pending dispute filed by a customer of Morgan Stanley against Helen Rothlein on March 7, 2025, alleges that the covered option trading she recommended for clients was unsuitable. The claim seeks damages totaling $429,000, during the time period 2019 – 2023.
An earlier customer dispute filed on June 23, 1993, was settled for $12,600 on January 11, 1994. The allegations involved negligence, breach of fiduciary duty, and damages associated with equity securities.
Allegations of Broker Misconduct Against Helen Rothlein
Customers have alleged the following misconduct against Helen Rothlein:
- Unsuitable investment recommendations involving covered option trading
- Negligence and breach of fiduciary duty in handling client accounts
- Failure to follow client instructions on liquidation requests
FINRA Rule 2111, which requires brokers to recommend suitable investment strategies tailored to individual client profiles, may be applicable to allegations involving unsuitable recommendations.
What is Option Trading? According to the U.S. Securities and Exchange Commission (SEC) “Options are contracts giving the purchaser the right to buy or sell a security, such as stocks, at a fixed price within a specific period of time.”
This right to purchase or right to sell at a set price for a set period of time allows investors to potentially profit not only from the rise in price, but also the decline. “Call” options grant the investor the right to buy a security at a set price for a set period of time. “Put” options give the investor the right to sell a security a set price for a set period of time.
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. Additionally, brokers are required to disclose certain financial matters such as personal bankruptcies, judgments, and liens.
Recover Your Investment Losses Now With Rex Securities Law
Investigations of Other Morgan Stanley Brokers
Follow this link for Investigation of Morgan Stanley broker Anthony Gallea who discloses this same pending customer dispute involving option trading.
If you have suffered investment losses in an account handled by Helen Rothlein, 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.