Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 17, 2017 indicate that Pennsylvania-based MML Investors Services broker John Roginski has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Roginski (CRD# 2860790).
John Roginski has spent 18 years in the securities industry and has been registered with MML Investors Services in Moosic, Pennsylvania since August 2017. Previous registrations include Securities America in Clarks Green, Pennsylvania (2004-2015); M&T Securities in Buffalo, New York (2000-2004); Prudential Securities in New York, New York (1997-2000); and Meyers Pollock Robbins, which has since been expelled by FINRA, in New York, New York (1997). He has passed four securities industry examinations: series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 24 (General Securities Principal Examination). He is registered as a broker in Pennsylvania.
According to his BrokerCheck report, John Roginski has received one pending customer complaint.
In March 2017 a customer alleged John Roginski, while employed at Securities America, recommended unsuitable investments in common and preferred stock products. The customer is seeking $400,000 in damages in the pending complaint. For reference, FINRA rules and federal securities law require that brokers abide by a standard called suitability, that is, they may recommend only investments that are considered suitable to their clients’ investment profiles. Brokers must weigh such factors as the customer’s investment experience, investment goals, age, net worth, income, risk tolerance, and more. Brokers who make unsuitable investment recommendations may be subject to disciplinary action by FINRA or the Securities and Exchange Commission.
If you have lost money investing with John Roginski, call Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.