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ROGER OWENS of Cetera Advisors SUSPENDED – Elkton, MD

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15
Aug

ROGER OWENS of Cetera Advisors SUSPENDED – Elkton, MD

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ROGER OWENS of Cetera Advisors SUSPENDED – Elkton, MD

Roger Owens, formerly with Cetera Advisors, Suspended from Securities Industry

 

Have you lost money with financial advisor Roger Owens from Elkton, Maryland?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Roger L. Owens. FINRA suspended Owens from the securities industry for twelve months, fined him $10,000, and ordered him to disgorge commissions.  Owens was being investigated regarding allegations that he sold $1,170,000 in investments in the Woodbridge Group of Companies.  Last year, Woodbridge filed for bankruptcy, and investors will likely suffer substantial losses.

 

Roger Owens was a registered representative and financial advisor with Cetera Advisors from 2007 to April 2019.  He worked out of a branch office in Elkton, Maryland.  He also owned Rymark Financial.

 

Broker-dealers like Cetera Advisors have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives.  Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations.  When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Maryland.   Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Cetera Advisors.

 

All our cases are taken on a contingent fee basis, meaning unless we recover money for you, you don’t pay us!

 

Click to view:  Owens, Roger FINRA AWC

Click to view:  Owens, Roger BrokerCheck 8.15.19

 

If you have lost money with Roger Owens and Cetera Advisors, and want to hear about ALL legal options, please visit https://www.israelsneuman.com or CONTACT ISRAELS & NEUMAN at 720-599-3505.

 

 

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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