Marc Rogers is a California based securities broker. He has worked in the securities industry for thirty-seven years. During his career, he has been registered with eight different securities firms.
His registrations include; DRB Financial (1982-1984), Merrill Lynch (1983-1985), Painewebber Incorporated (1985-1993), Smith Barney (1993-1995), Piper Jaffray Inc. (1995-1998), Morgan Stanley (1998-2004), RBC Capital Markets Corporation (2004-2010), and Wells Fargo Clearing Services (2010-Present).
Marc Rogers’ publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career.
In March 1998, a customer alleged churning, unsuitability, and negligence. This case was settled for $250,000 in damages.
In January 1999, a customer alleged mismanagement of investments and churning. The alleged transgressions taking place between 1995 and 1998. This case was settled for $200,000 in damages.
In July 2014, a customer alleged unsuitable investments.
In May 2016, a customer alleged unsuitable investment recommendations and misrepresentation. The alleged transgressions taking place between 2007 and 2014. This case went to arbitration where the customer was awarded $4,179,116 in damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Marc Rogers, please contact Oakes & Fosher for a free and private consultation.