Former Financial Advisor Joseph Rozof Suspended by FINRA for Alleged Unauthorized Trading
September 17, 2025
- Categories:
- Harley Capital
Joseph Warner Rozof (CRD#: 5274784) was a previously registered broker. Broker’s History He entered the securities industry in 2007 and previously worked with Laidlaw & Company (UK) Ltd.; National Securities Corporation; Aegis Capital Corp; Rever Securities LLC; and Harley Capital LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available […]