Glen Rauch—Sales Practice Violations

New Orleans stockbroker fraud attorney

Glen Rauch Allegedly Orchestrated a Various Assortment of Serious Sales Practice Violations Which Displayed Disregard for FINRA Rules

Glen Rauch allegedly orchestrated a variety of serious sales practice violations which displayed dishonesty, evasiveness, and a venerable disregard for FINRA Rules leading to customer losses, according to a Complaint from FINRA’s Department of Enforcement currently under review by  attorneys Alan Rosca and James Booker.

For example, Glen Rauch allegedly recommended 10 unsuitable options transactions for a customer’s account while also allegedly mismarking or causing others to mismark electronic order tickets on 10 transactions as “unsolicited” when in fact the transactions were actually solicited, said Complaint further notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Glen Rauch’s alleged serious sales practice violations.

Rauch Allegedly Affected at Least 37 Unauthorized Transactions in Nine Securities

Glen Rauch allegedly also, between June and September 2014, effected at least 37 unauthorized transactions in nine securities while also, between July and August 2014, affecting 16 unsuitable options transactions, according to the aforementioned FINRA Complaint currently under review by attorneys Alan Rosca and James Booker.

Furthermore, Rauch allegedly also mismarked or caused others to mismark 64 electronic transactions as “unsolicited” when indeed they were solicited, the Complaint also notes.

This process, FINRA notes, gives the untrue impression that an investor has pro-actively proposed executing such transactions, the Complaint reports.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged securities fraud scams and are currently investigating Glen Rauch’s alleged serious sales practice violations. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Glen Rauch’s alleged serious sales practice violations may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1163 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.