Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that California-based Wells Fargo broker/adviser Marc Rogers, also known as Buck Rogers, has settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rogers (CRD# 1008145).
Marc Rogers has spent 34 years in the securities industry and has been registered with Wells Fargo Advisors in Palo Alto, California since 2010. Previous registrations include RBC Capital Markets in San Jose, California; Morgan Stanley DW in Purchase, New York; Piper Jaffray in Minneapolis, Minnesota; Smith Barney in New York, New York; PaineWebber in Weehawken, New Jersey; Merrill Lynch; and DRB Financial. He is a registered broker and investment adviser with 14 US states and territories: California, Colorado, Connecticut, Delaware, Idaho, Illinois, Massachusetts, Missouri, North Carolina, Oregon, Tennessee, Texas, Utah, and Washington.
According to his BrokerCheck report, Marc Rogers has received two customer complaints and one pending customer complaint.
In May 2016, a customer alleged Marc Rogers, while employed at RBC Capital Markets, recommended an over-concentration in Puerto Rico bonds. The customer is seeking $7,500,000 in damages in the pending complaint.
In 1999, a customer alleged Marc Rogers, while employed at US Bancorp Piper Jaffray, executed excessive trades, made unsuitable recommendations, breached his fiduciary duty, and committed fraud. The complaint settled in 2000 for $210,000, to which Mr. Rogers individually contributed $31,000.
In 1998, a customer alleged Marc Rogers, while employed at Piper Jaffray, churned the account, acted negligently, and made unsuitable recommendations. The complaint settled for $250,000, to which Mr. Rogers individually contributed $50,000.
If you have suffered losses while investing with Marc Rogers, you may be entitled to a recovery. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.