Customer Seeking $1.5 Million in Damages From Broker Regan Rohl

Regan Rohl

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 28, 2017 indicate that North Dakota-based Wells Fargo Advisors Financial Network broker/adviser Regan Rohl has been the subject of several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rohl (CRD# 1877645).

Regan Rohl has spent 28 years in the securities industry and has been registered with Wells Fargo Advisors Financial Network in Fargo, North Dakota since 2011. Previous registrations include Morgan Stanley Smith Barney in Fargo, North Dakota; Citigroup Global Markets in Fargo, North Dakota; Dain Rauscher in New York, New York; John G. Kinnard & Company in Minneapolis, Minnesota; and Edward D. Jones in St. Louis, Missouri. He is a registered broker and investment adviser with 28 US states and territories.

According to his BrokerCheck report, he has received two customer complaints and three pending customer complaints.

In June 2017 a customer alleged Regan Rohl, while employed at Wells Fargo Advisors Financial Network, made unsuitable investment recommendations. The customer is seeking $1,500,000 in damages in the pending complaint.

In May 2017 a customer alleged Regan Rohl, while employed at Wells Fargo Advisors Financial Network, misrepresented the risks associated with concentrated energy investments. The customer is seeking $85,000 in damages in the pending complaint.

In March 2017 a customer alleged Regan Rohl, while employed at Wells Fargo Advisors Financial Network, made unsuitable recommendations and exercised discretion without authorization. The customer is seeking $250,000 in damages in the pending complaint.

In 2001 a customer alleged he, while employed at Dain Rauscher, misrepresented material facts related to an unsuitable investment. The complaint settled for 2001.

In 1999 a customer alleged he, while employed at Dain Rauscher, failed to adequately explain the risks associated with an investment in corporate bonds. The complaint settled for $20,000.

If you or someone you know has complaints regarding Regan Rohl, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment 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.