DID REGAN ALLLEN ROHL CAUSE YOU INVESTMENT LOSSES?
Regan Allen Rohl formerly with Wells Fargo Advisors Financial Network, LLC Has 16 Customer Complaints For Alleged Broker Misconduct
Who is Regan A. Rohl formerly with Wells Fargo Advisors Financial Network, LLC?
Regan Rohl (CRD #1877645) who was formerly registered with Wells Fargo Advisors Financial Network, LLC and located in Fargo, North Dakota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Advisors Financial Network, LLC, Regan Rohl was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Wells Fargo Advisors Financial Network, LLC Broker Misconduct
In his career, Regan Rohl has been the subject of 16 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. Ten of Regan Rohl’s 16 customer complaints were settled in favor of investors. Five of the customer complaints were denied by his former employer antedate the customers have not taken any further action. There is currently one pending customer complaint filed against Regan Rohl’s former employer Wells Fargo Advisors Financial Network, LLC for investment losses caused by his alleged misconduct.
Allegations Against Regan Rohl
A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:
- Claimants allege that the financial advisor engaged in unauthorized trading made unsuitable investment recommendations.
- Claimants allege that their financial advisor made unauthorized transactions, and that he over-concentrated their accounts in oil and gas related investments.
- Claimants allege that the financial advisor made unsuitable investment recommendations to purchase direct investments in limited partnership interests.
- Claimants allege that their financial advisor misrepresented the risks associated with a concentration of their investments in the energy sector.
- Claimants allege that the financial advisor made unsuitable investment recommendations that the clients over-concentrated their portfolio in the energy sector and then made unsuitable recommendations to continue to hold those investments after they began to decline in value.
- Claimants allege that the financial advisor made unsuitable investment recommendations to buy and concentrate their portfolio into the oil and gas sector master limited partnerships and closed-end funds.
Regan Rohl Red Flags & Your Rights As An Investor
Of course, Regan Rohl 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 Regan Rohl at Wells Fargo Advisors Financial Network, LLC on alert to review carefully the activity and performance of their accounts and question whether Regan Rohl has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network, LLC about Regan Rohl also raises questions about its 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 Wells Fargo Advisors Financial Network, LLC
If you have questions about Wells Fargo Advisors Financial Network, LLC and/or Regan Rohl 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.