Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that former North Carolina-based Next Financial Group broker Roger Price, who has received resolved or pending customer disputes, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Price (CRD# 855116).
Roger Price has spent 38 years in the securities industry and was most recently registered with Next Financial Group in Matthews, North Carolina (2009-2017). Previous registrations include Morgan Keegan & Company in Charlotte, North Carolina (2000-2009); Wachovia Securities in Charlotte, North Carolina (1980-2000); and Dean Witter Reynolds (1978-1980). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 1, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 1, 1980; Series 5 (Interest Rate Options Examination), which he obtained on September 28, 1981; and Series 7 (General Securities Representative Examination), which he obtained on July 15, 1978. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints, and was recently discharged from his former employer.
In March 2017 he was terminated from his position at Next Financial Group following allegations he exercised discretion without written authorization for two clients and falsely reported the “order received date and time” for those clients in the firm’s system, causing the firm’s books and records to be inaccurate.
In October 2017 a customer alleged Roger Price, while employed at Next Financial Group, purchased unsuitable, speculative corporate bonds. The customer is seeking more than $369,600 in damages in the pending complaint.
In 2000 a customer alleged Roger Price, while employed at Wachovia Securities, churned investments and made unsuitable recommendations. The customer is seeking more than $23,000 in damages in the pending complaint.
In 1988 a customer alleged Roger Price, while employed at Interstate Securities Corporation, recommended unsuitable securities. The complaint resulted in an award to the customer of more than $23,700.
If you have complaints regarding Roger Price, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.