DID ROGER RANDALL GIVEN CAUSE YOU INVESTMENT LOSSES?
About Roger Given of LPL Financial LLC?
Roger Given (CRD #2198309) is currently employed by and registered with LPL Financial LLC (CRD# 6413) since November 20, 2020. Previously, he was associated with Avantax Advisory Services (CRD# 104556) and Avantax Investment Services, Inc. (CRD# 13686) from January 1992 to December 2020. Throughout his career, Given has been registered with one self-regulatory organization (SRO) and holds licenses in eight U.S. states and territories. He has passed one principal/supervisory exam, three general industry/product exams, and two state securities law exams. His qualifications include the Registered Options Principal Examination (Series 4), the General Securities Representative Examination (Series 7), and the Uniform Securities Agent State Law Examination (Series 63).
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Roger Given Customer Complaints and Reviews
- Customer Dispute Received August 20, 2024
- Complaint: The customer alleged that an investment purchased in 2015 was not suitable.
- Alleged Damages: $25,000.00
- Status: The dispute is currently pending, and it involves a written complaint that is not subject to arbitration or civil litigation
Allegations Against Roger Given
Roger Randall Given is accused of recommending an unsuitable direct investment in DPP & LP Interests to a customer in 2015, which allegedly resulted in a financial loss for the customer.
Outcome: The dispute is still under investigation and remains unresolved, with the customer seeking $25,000 in damages.
Roger Given Red Flags & Your Rights As An Investor
Of course, Roger Given did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Roger Given at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Roger Given has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Roger Given
If you have questions about LPL Financial LLC and/or Roger Given and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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