DID ROGER DAVIS CAUSE YOU INVESTMENT LOSSES?
Roger Davis of ProEquities, Inc., WMG Financial Advisors And Formerly With Lincoln Financial Securities, SunTrust Advisory Services Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Roger Davis of ProEquities, Inc.?
Roger Davis (CRD #2087383) who is currently registered with ProEquities, Inc., WMG Financial Advisors and located in Chattanooga, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Prior to ProEquities, Inc. and WMG Financial Advisors, Roger Davis was associated with Lincoln Financial Securities, SunTrust Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Roger Davis Customer Complaints
Roger Davis has been the subject of 2 customer complaints that we know about. Both of Roger Davis’ customers’ complaints were denied and, to date, the customers have not taken any further action.
Allegations Against Roger Davis
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Client alleged Roger Davis misled him regarding the performance and nature of his investments. He further alleges unsuitability, poor performance and lack of communication with regard to his portfolio.
- The client alleged she was told by Roger Davis she would never lose her initial investment amount. She was also concerned about the investment performance.
Roger Davis Red Flags & Your Rights As An Investor
Of course, Roger Davis 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 Roger Davis at ProEquities, Inc., WMG Financial Advisors, Lincoln Financial Securities, and SunTrust Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Roger Davis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at ProEquities, Inc., WMG Financial Advisors, Lincoln Financial Securities, and SunTrust Advisory Services also raises questions about the brokerage firms’ 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 ProEquities, Inc. Due To Roger Davis
If you have questions about ProEquities, Inc., WMG Financial Advisors, Lincoln Financial Securities, SunTrust Advisory Services, and/or Roger Davis 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.