Michael Joseph Rose (CRD#2954324) and SAXONY SECURITIES, INC.

We help investors recover losses

Our securities attorneys are seeking to speak with former customers regarding potential investment-related claims. If you have concerns about securities sold to you by this broker, contact Halling & Cayo, S.C. today.

Any previous customer complaints are made publicly available by FINRA. Reviewing these reports can help investors understand the regulatory history of their financial professionals.

Claim(s) Made Against Michael Joseph Rose:

Claim Date: 4/27/2026

“Client alleges they were exposed to unsuitable private placements, undisclosed conflicts of interests related to those private placements, and inappropriate advisor-directed 529 accounts in lieu of self-directed 529 accounts.”

This claim, as of this posting, is currently Pending with a claim amount of $200,000.00 .

See more information on FINRA’s BrokerCheck site for Michael Joseph Rose.

Were you a client of Michael Joseph Rose?

Recovery can often depend on finding a lawyer that “specializes in securities complaints” as the SEC reminds investors. (See more information in our video, How to file a complaint against a Financial Advisor.) If you are a former customer of Michael Joseph Rose and SAXONY SECURITIES, INC. and have incurred investment losses, please contact the Securities Lawyers. You may be entitled to financial compensation, and we work on a contingency basis, meaning we only get paid if we recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to act quickly and speak with an attorney as soon as possible.
Learn about potential claims for investment recovery, Types of Broker Misconduct and Fraud , or about the FINRA arbitration process, Guide to the FINRA Arbitration Process .

If you were a customer of Michael Joseph Rose and SAXONY SECURITIES, INC. from MIAMI BEACH, FL and had a similar issue or experience as those described in the above public postings, we are interested in discussing a potential claim with you. Brokerage firms have a responsibility to supervise all representatives who are registered through their firm. (See our video, Warning signs of a bad financial advisor). Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. The brokerage firm is not only legally responsible for the acts of its agents, like Michael Joseph Rose, the broker dealer may also be liable for investment losses sustained by customers for a failure to supervise. The Securities Lawyers at Halling & Cayo, S.C. have recovered millions of dollars for investors across the country.

Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.

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