Warren Scroggie is a Florida based securities broker. He has worked in the securities industry for nineteen years. During his career, he has been registered with three different securities firms.
His registrations include; Morgan Stanley (1999-2004), Banc of America Investment Services (2004-2009), and Merrill Lynch (2009-Present).
Warren Scroggie’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career.
In October 2004, a customer alleged unsuitable investment recommendations done solely to generate commissions.
In January 2005, customers alleged that Scroggie recommended unsuitable mutual funds as well as churned their accounts. This case was settled for $25,000 in damages.
In October 2016, an attorney, on behalf of a customer alleged that Scroggie made an unsuitable investment recommendation regarding a variable annuity.
In May 2018, a customer alleged failure to follow instructions. The alleged transgressions taking place between December 2015 and April 2018. This case was settled for $10,414.43 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 Warren Scroggie, please contact Oakes & Fosher for a free and private consultation.