Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 7, 2017 indicate that Texas-based Wells Fargo Clearing Services broker/adviser Wayne Rogers has been the subject of a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rogers (CRD# 4911243).
Wayne Rogers has spent 12 years in the securities industry and has been registered with Wells Fargo Clearing Services in Austin, Texas since 2011. Previous registrations include Wells Fargo Investments in Midland, Texas (2006-2011); UBS Financial Services in Houston, Texas (2005-2006); and Mariner Investment Group (2005). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with eight US states and territories: California, Colorado, Florida, Missouri, New Mexico, Oklahoma, Texas, and Wyoming.
According to his BrokerCheck report, he has received one customer complaint and two denied customer complaints.
In July 2017 a customer alleged Wayne Rogers, while employed at Wells Fargo Advisors, sold an unsuitable private equity investment. The customer sought unspecified damages in the complaint, which was denied.
In 2016 a customer alleged Wayne Rogers, while employed at Wells Fargo Advisors, made an unauthorized investment in a “risky” oil and gas product. The customer sought unspecified damages in the complaint, which was denied.
In 2008 a customer alleged Wayne Rogers, while employed at Wells Fargo Investments, participated in “misleading and deceptive acts” in connection to the “unsuitable and imprudent” recommendations and sales of reverse convertible notes. The complaint settled in 2010 for $150,000.
If you or someone you know has a complaint regarding Wayne Rogers, 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.