Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 5, 2018 indicate that former Indiana-based RBC Capital Markets broker/adviser Roger Klinger has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Klinger (CRD# 2626813).
Roger Klinger has spent 22 years in the securities industry and was most recently registered with RBC Capital Markets in Indianapolis, Indiana (2011-2018). Previous registrations include Raymond James & Associates in Fishers, Indiana; Wachovia Securities in Indianapolis, Indiana (2001-2008); and Merrill Lynch in New York, New York (1995-2001). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 7, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 3, 1995; and Series 7 (General Securities Representative Examination), which he obtained on June 27, 1995. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint.
In February 2018 a customer alleged Roger Klinger, while employed at RBC Capital Markets, executed unauthorized trades and over-concentrated the account in unsuitable investments, including unit investment trusts and master limited partnerships. The customer is seeking $100,000.
In 2011 a customer alleged Roger Klinger, while employed at Raymond James & Associates, recommended unsuitable investments in stocks, unit investment trusts, and exchange-traded funds. The complaint settled for $18,000.
In 2009 a customer alleged Roger Klinger, while employed at Raymond James & Associates, misrepresented and omitted material facts related to the management of their account, including that it was heavily traded on margin. The complaint settled for $75,000.
In 2009 a customer alleged he, while employed at Wachovia Securities, recommended unsuitable investments in closed-end funds. The complaint settled for $50,000.
If you or someone you know has a complaint regarding Roger Klinger, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect 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.