Broker Spotlight: Roger Proctor

Roger ProctorPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 22, 2016 indicate that Michigan-based Hantz Financial Services broker/adviser Roger Proctor is the subject of a denied customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Proctor (CRD# 1094858).

Roger Proctor has spent 32 years in the securities industry and has been registered with Hantz Financial Services in Tecumseh, Michigan since 1999. Previous registrations include Hantz Financial Services (1999); Vestax Securities Corporation in Hudson, Ohio (1997-1999); American Express Financial Advisors in Minneapolis, Minnesota (1983-1997); and IDS Financial Services (1983-1986). He is a registered broker and investment adviser in 13 US states and territories: Arizona, Colorado, Florida, Illinois, Indiana, Iowa, Michigan, Nevada, New Hampshire, North Carolina, Ohio, Tennessee, and Wisconsin.

According to his BrokerCheck report, Roger Proctor is the subject of one denied customer complaint and resigned from his position at Vestax Securities Corporation.

In 2014, a customer alleged that Roger Proctor, while employed at Ameriprise Financial Services, recommended an unsuitable variable universal life insurance product. The customer sought $358,200 in damages in the complaint, which was denied.

In 1999, Roger Proctor was “permitted to resign” from his position at Vestax Securities Corporation following allegations that he engaged in improper sales tactics.

If you or someone you know has a complaint regarding Roger Proctor, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup losses. Fitapelli Kurta accepts every case on contingency; we only get 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.