Investigation of Jeffrey Rodgers and Morgan Stanley, Inc.
Have you lost money with financial advisor Jeffrey Rodgers of Bend, Oregon? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jeffrey E. Rodgers. FINRA suspended Rodgers from the securities industry for two years after he failed to fully cooperate with a FINRA investigation. FINRA investigated Rodgers after it was alleged that he borrowed money from a customer of his brokerage firm, Morgan Stanley, in violation of FINRA rules and Morgan Stanley’s internal policies. Rodgers was also alleged to have failed to disclose an outside business activity.
Jeffrey Rodgers was a financial advisor and registered representative of Morgan Stanley from September 2010 to May 2013. He worked at a branch office in Bend, Oregon.
Brokerage firms like Morgan Stanley have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Oregon and throughout the Pacific Northwest. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Morgan Stanley, LPL Financial, Merrill Lynch, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.
Click to view: Rodgers FINRA AWC
Click to view: Rodgers BrokerCheck 3.24.16
HAVE YOU LOST MONEY WITH JEFFREY RODGERS OR MORGAN STANLEY?
CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION
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