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Dale Francis Roehrich with Parkland Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years

Who is Dale F. Roehrich with Parkland Securities, LLC?

Dale Roehrich (CRD #1775964) who is currently registered with Parkland Securities, LLC and located in Fargo, North Dakota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Parkland Securities, LLC, Dale Roehrich was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Dale Roehrich also has had regulatory problems. The State of North Dakota alleged that he exchanged a life insurance policy for a variable life insurance policy that was not suitable for the investor for which he was fined

Parkland Securities, LLC Broker Misconduct

In his career, Dale Roehrich has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Two of Dale Roehrich’s 5 customer complaints were settled in favor of investors. The other 3 customer complaints were denied by his current and former employers and to date, the customers have not taken any further action

Allegations Against Dale Roehrich  

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • Client alleged that the financial advisor made an unsuitable recommendation regarding the replacement of insurance policy by borrowing from an existing policy to pay the premium on the new policy.
  • Client alleged that Dale Roehrich misrepresented a variable appreciable life insurance policy.
  • Client alleges that the registered representative misrepresented and recommended an unsuitable fixed index annuity.
  • Customer alleged that Dale Roehrich did not fully disclose all the facts regarding the premium flexibility of an insurance policy offered and sold to him.

Dale Roehrich Red Flags & Your Rights As An Investor

Of course, Dale Roehrich 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 Dale Roehrich at Parkland Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Dale Roehrich has engaged in any stockbroker misconduct that may have caused them investment losses. The customer complaint at Parkland Securities, LLC also raises questions about 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 Parkland Securities, LLC

If you have questions about Parkland Securities, LLC and/or Dale Roehrich 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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