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Intrepid Investment Bankers President W Michael Rosenberg Sanctioned for Undisclosed Accounts Away from Firm

FINRA fined and suspended Intrepid Investment Bankers LLC (Los Angeles, CA) Senior Managing Director and President W Michael Rosenberg for failing to timely disclose new investment accounts he opened and held at a different firm, UBS.

AWC #2016049085801

The findings state that Rosenberg (CRD #1617639) failed to inform Intrepid in writing that he had opened 13 brokerage accounts away from the firm at UBS for nearly two years, consenting to FINRA's imposition of a $25,000 fine and 20-day suspension to settle the charges.

In addition to his association with Intrepid Investment Bankers, Intrepid Enterprises, and Intrepid Investment Partners (Los Angeles and Corona Del Mar, CA), Rosenberg's BrokerCheck report indicates additional business activities with Inception Digital and Inception Signage, as an advisory board member.

If you have invested with Mike Rosenberg of Los Angeles' Intrepid Investment Bankers or with any broker or financial adviser who opened a brokerage account away from and without appropriate disclosure to their principal firm, and this undisclosed activity outside of their scope of employment with the firm has proven harmful to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for investigation and consultation.

Categories: Discipline, FINRA, UBS, Disclosure
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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