Last Updated: February 2024 (Phoenix, AZ)
Richard Rogers Investigation Summary
Here’s what you need to know about Phoenix, AZ, registered investment advisor Richard Rogers:
- Name: Mr. Richard Sherman Rogers, Jr.
- Current Employer: Brookwood Investment Group (RIA), Not currently registered with FINRA
- DBA: Brookwood Insurand, LLC
- Previous Firms: Belpointe Asset Management (RIA), Wells Fargo Clearing Services, Wells Fargo Advisors
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Richard Rogers
- Primary Location: Phoenix, AZ
- CRD 1847671
- Can Richard Rogers be sued in arbitration: Yes
- Sanctioned by Securities Regulator: Yes
- Terminated by a prior employer: Yes
- Highest Settlement or Award: $16,166
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Richard Rogers As Your Stockbroker?
In 6/2023 Richard Rogers was “permitted to resign” from Belpointe Asset Management. The firm makes this allegation on his regulatory record: “ Advisor distributed unapproved sales materials, failed to keep Form U4 updated and knowingly mislead client via email.”
H2: Allegations of Broker Misconduct Against Richard Rogers
An employer of Richard Rogers has alleged the following wrongdoing in connection with the handling of customer accounts:
- Knowingly mislead client via email.
- Distributed unapproved sales materials
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Richard Rogers, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
