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Roger Duval Formerly With Pruco Securities, LLC and MML Investors Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Roger Duval formerly with Pruco Securities, LLC?

Roger Duval

Roger Duval (CRD #2503718) who was formerly registered with Pruco Securities, LLC and located in Bellevue, Washington, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Pruco Securities, LLC, Roger Duval was associated with MML Investors Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Roger Duval has had his own regulatory problems. He has been permanently barred by FINRA for any further association with any FINRA member firm in the future for allegedly converting approximately $130,000 from elderly customers for his own personal use

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Roger Duval Customer Complaints

Roger Duval has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by Roger Duvall’s former employers in favor of the investors. The other customer complaint was denied by Pruco Securities and to date, the customer has not taken any further action.

Allegations Against Roger Duval  

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

  • Solicitation of loans from customers to fund the representative’s publication of a book.
  • Transfer of funds from accounts held away from the firm without customer’s knowledge or consent.
  • Unsuitable investment recommendations.

Roger Duval Red Flags & Your Rights As An Investor

Of course, Roger Duval 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 Duval at Pruco Securities, LLC and MML Investors Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Roger Duval has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, LLC and MML Investors Services, LLC 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.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Pruco Securities, LLC Due To Roger Duval

If you have questions about Pruco Securities, LLC, MML Investors Services, LLC and/or Roger Duval 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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