DID ROGER DANIEL FOLLIS CAUSE YOU INVESTMENT LOSSES?
Roger Follis Of B. Riley Wealth Management And Formerly With Wells Fargo Advisors Financial Network, LLC Has A Customer Complaint For Alleged Broker Misconduct
Who is Roger Follis of B. Riley Wealth Management?
Roger Follis (CRD #2653439) who is currently registered as a broker and investment adviser with B. Riley Wealth Management and located in Washington, District of Columbia, is a subject of one of our many securities industry sales practice abuse investigations. Prior to B. Riley Wealth Management, Roger Follis was associated with Wells Fargo Advisors Financial Network, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Roger Follis Customer Complaint
Roger Follis has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were registered representative took inappropriate risk of purchasing unsuitable investments, overtrading options, and deviating from the customer’s investment plan. The customer recently filed a FINRA arbitration proceeding against B. Riley Wealth Management for Roger Follis’ alleged misconduct, seeking damages in excess of $2.6 million, that is still pending.
Roger Follis Red Flags & Your Rights As An Investor
Of course, Roger Follis 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 Follis at B. Riley Wealth Management and Wells Fargo Advisors Financial Network, LLC on alert to review carefully the activity and performance of their accounts and question whether Roger Follis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management and Wells Fargo Advisors Financial Network, LLC also raises questions about the brokerage firms’ 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 B. Riley Wealth Management Due To Roger Follis
If you have questions about B. Riley Wealth Management, Wells Fargo Advisors Financial Network, LLC and/or Roger Follis 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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