Last Updated: May 2025 — Santa Fe, NM
Here’s what you need to know about Santa Fe, NM, stockbroker Roxane Lillian Rose:
- Name: Ms. Roxane Lillian Rose
- Current Employer: Merrill Lynch, Pierce, Fenner & Smith
- Primary Location: Santa Fe, NM
- CRD Number: 2722816
- Function: Stockbroker / Registered Investment Advisor
- Prior Employers: Smith Barney Inc., Spyglass Trading, L.P.
- Can Ms. Rose be sued in FINRA arbitration?: Yes
- Sanctioned by FINRA?: No
- Pending Customer Disputes: Recent dispute denied by firm
If you’ve sustained damages from Ms. Rose, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Roxane Rose as Your Stockbroker?
In April 2025, a client of Merrill Lynch, Pierce, Fenner & Smith Incorporated alleged that Roxane L. Rose engaged in unauthorized trading in a managed or wrap account from December 2024 through April 2025. The firm denied the complaint and as of this date it does not appear that the customer has pursued the matter further. See below for our advice should you have a complaint “denied” by your broker dealer.
Has Your Brokerage Firm “Denied” Your Claim for Damages Due to Stockbroker Malpractice?
It is quite common (and predictable as well) for brokerage firms to deny a customer’s complaint made directly to the company. Firms know that in many, if not most, instances telling the customer “we don’t think it’s our fault” will be the end to the problem.
Firms seldom, if ever, offer adequate resolution when a customer deals directly with the brokerage firm. In the unlikely event the firm does actually agree to discuss settlement, the firm will generally attempt to have you settle your case for a fraction of what it is worth.
If you think there is a problem with the way your account has been handled, or if you have had your claim “denied”, talk to an experienced securities attorney to learn your rights and to learn what the true value of your claim may be.
We do not charge to evaluate a case.
Allegations of Broker Misconduct Against Roxane L. Rose
Unauthorized Trading
Recover Your Investment Losses Now With Rex Securities Law
See this for our prior investigations of Merrill Lynch brokers.
If you have suffered investment losses in an account handled by Roxane L. Rose, 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.