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Adam Rogers Of UBS Financial Services And Formerly With Credit Suisse Securities (USA) Has A Customer Complaint For Alleged Broker Misconduct

Who is Adam Rogers of UBS Financial Services?

Adam Rogers (CRD #4906493) who is currently registered with UBS Financial Services and located in Wellesley, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Adam Rogers was associated with Credit Suisse Securities (USA) and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Adam Rogers Customer Complaint

Adam Rogers has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable investment recommendations and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The customer complaint filed against Adam Rogers’ current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report.

Adam Rogers Red Flags & Your Rights As An Investor

Of course, Adam Rogers did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Adam Rogers at UBS Financial Services and Credit Suisse Securities (USA) on alert to review carefully the activity and performance of their accounts and question whether Adam Rogers has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and Credit Suisse Securities (USA) also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At UBS Financial Services Due To Adam Rogers

If you have questions about UBS Financial Services, Credit Suisse Securities (USA), and/or Adam Rogers and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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