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DID RICHARD WILLIAM ROKALA JR CAUSE YOU INVESTMENT LOSSES?

Richard William Rokala Jr with The Oak Ridge Financial Services Group, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years

Who is Richard W. Rokala Jr with The Oak Ridge Financial Services Group, Inc.?

Richard Rokala (CRD #2646330) who is currently registered with The Oak Ridge Financial Services Group, Inc. and located in Golden Valley, Minnesota is a subject of one of our many securities industry sales practice abuse investigations.  

Prior to The Oak Ridge Financial Services Group, Inc., Richard Rokala was associated with Dougherty & Company, LLC and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

The Oak Ridge Financial Services Group, Inc. And Dougherty & Co., LLC Broker Misconduct

In his career, Richard Rokala has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last 2 years to recover investment losses. All of Richard Rokala’s 3 customer complaints were settled in favor of investors.

Allegations Against Richard Rokala

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

  • Claimants alleged unsuitable investment recommendations relating to over-the-counter stocks.
  • The claimant alleges churning, unauthorized trading, unsuitable investment recommendations, and negligence relating to investments in corporate and municipal bonds, common stocks, and exchange-traded funds.
  • The claimant alleges churning, unauthorized trading, unsuitable investment recommendations, and negligence in connection with the bond and stock transactions.

Richard Rokala Red Flags & Your Rights as An Investor

Of course, Richard Rokala 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 Richard Rokalaat The Oak Ridge Financial Services Group, Inc. and Dougherty & Company, LLC on alert to review carefully the activity and performance of their accounts and question whether Richard Rokalahas engaged in any stockbroker misconduct that may have caused them investment losses.

The large number of customer complaints at The Oak Ridge Financial Services Group, Inc. and Dougherty & Company, 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 The Oak Ridge Financial Services Group, Inc.  And Dougherty & Company, LLC

If you have questions about The Oak Ridge Financial Services Group, Inc., Dougherty & Company, LLC and/or Richard Rokalaand 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.

Author Photo

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 $140 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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