Last Updated: May 2025 (Colorado Springs, CO)
Here’s what you need to know about Colorado Springs, CO, stockbroker Roger Randall Given:
- Name: Mr. Roger Randall Given
- Current Employer: LPL Financial LLC
- Prior Employers: Avantax Advisory Services, Avantax Investment Services, Inc.
- Function: Stockbroker / Financial Advisor
- Primary Location: Colorado Springs, CO
- CRD Number: 2198309
- Can Roger Given be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $11,250
If you’ve sustained damages from Mr. Given, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Roger Randall Given As Your Stockbroker?
A customer of Avantax Investment Services was paid $11,250 in February 2025 to resolve allegations that Roger Given recommended an unsuitable investment in Direct Participation Programs (DPPs) and Limited Partnership (LP) Interests.
Allegations of Broker Misconduct Against Roger Randall Given
A customer of Roger Given has alleged the following wrongdoing in connection with the handling of their accounts:
Unsuitable Investment Recommendation
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA Rule 2111 requires brokers to have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through reasonable diligence.
Brokers and firms are required by FINRA to report customer complaints, disputes, and regulatory sanctions. They must also disclose significant financial matters such as personal bankruptcies, judgments, and liens.
Recover Your Investment Losses Now With Rex Securities Law
LPL Financial Lawsuits, Arbitrations and Customer Complaints and Disputes
If you have suffered investment losses in an account handled by Roger Randall Given, 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.