Investor Alert > Former Broker Roger Owens Allegedly Violated Federal and State Securities Laws

Posted Jul 26, 2019

by Alan Rosca

Former Broker Roger Owens Allegedly Violated Federal and State Securities Laws

Ex Broker Roger Owens Allegedly Engaged in Breach of Contract, Fiduciary Duty, and Negligence

Former broker Roger Lee Owens allegedly engaged in violations of Federal and State Securities Laws, breach of contract and fiduciary duty, common law fraud, and negligence, according to a Pending Customer Dispute under review by investor rights attorney Alan Rosca.

The aforementioned dispute was filed on April 16, 2018, FINRA states, and damages of $95,000 have been requested, as reported on Owen’s FINRA Brokercheck page.

Investor rights attorney Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to ex broker Roger Owens’ alleged violations of Federal and State Securities Laws, breach of contract and fiduciary duty, common law fraud, and negligence. Investors who believe they may have lost money in activity related to Roger Lee Owens’ alleged violations of Federal and State Securities Laws, breach of contract and fiduciary duty, common law fraud, and negligence are encouraged to contact attorney Alan Rosca with any useful information or for a free, no-obligation discussion about their options.

Concerned about investments with

Broker

Roger Owens Terminated by Cetera Advisors Following Allegations of Violations of Firm Policies and Procedures

Ex broker Roger Owens terminated by Cetera Advisors LLC following allegations that he violated the firm’s policies and procedures by purportedly participating in unapproved private securities transactions, FINRA notes.

Owens has 25 years in the securities industry at 5 different firms, including the following:

Cetera Advisors LLC, Elkton, MD— July 18, 2007, to April 10, 2019
Legacy Financial Services, Inc., Elkton, MD— December 14, 2005, to July 18, 2007
Uvest Financial Services Group, Inc., Charlotte, NC— August 18, 1997, to December 6, 2005
Fortis Investors, Inc., Oakdale, MN— December 14, 1994, to September 5, 1997
Banner Financial Services Group, Rockville, MD— July 8, 1993, to February 8, 1995

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.

Concerned about investments with

Broker

Securities Lawyer Investigating

The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating ex broker Roger Owens’ alleged violations of Federal and State Securities Laws, breach of contract and fiduciary duty, common law fraud, and negligence. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Roger Owens’ alleged violations of Federal and State Securities Laws, breach of contract and fiduciary duty, common law fraud, and negligence may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

How to contact us?

We can also do a Zoom call to discuss your matter.