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Roger Vlach Formerly With RBC Capital Markets And Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Roger Vlach formerly with RBC Capital Markets?

Roger Vlach (CRD #874263) who was formerly registered with RBC Capital Markets and located in Bend, Oregon is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Roger Vlach was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Roger Vlach Customer Complaints

Roger Vlach has been the subject of 2 customer complaints that we know about.  Both of Roger Vlach’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Roger Vlach

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 Vlach’s failure to follow instructions with respect to risk tolerance.
  • Client alleged Roger Vlach represented the investments as safe investments, not as high risk investments that were inappropriate for moderate risk investors.

Roger Vlach Red Flags & Your Rights As An Investor

Of course, Roger Vlach 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 Vlach at RBC Capital Markets and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Roger Vlach has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets and Wells Fargo Clearing 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 RBC Capital Markets and Wells Fargo Clearing Services Due To Roger Vlach

If you have questions about RBC Capital Markets, Wells Fargo Clearing Services, and/or Roger Vlach 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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