Potomac Analytics' Logo

FINRA Broker Allegations

Allegations against: Ralph E Derose

Allegation type: Customer Dispute

Allegation status: Denied

The allegations read: Suitability; unauthorized trading; negligent misrepresentation; omissions; violations of chapter 517; florida statutes, fraud, respondent superior; negligence, breach of fiduciary duty. The customers first opened accounts in 1997 with derose while derose was at roney & co, now raymond james.

Back