25
Feb

MARK ROGERS of SII Investments BARRED by Arkansas

Investigation of Donald Woods of LPL Financial in Louisville, KY

Have you lost money with financial advisor Mark Rogers of Little Rock, Arkansas?

 

We are investigating allegations made by the Arkansas Securities Department against Mark Steven Rogers of SII Investments. Arkansas barred Rogers from the securities industry in the State of Arkansas after he allegedly recommended that his clients invest in a number of non-investment grade bonds.  Some of these bonds included Peabody Energy Corp., PHI Inc., Century Link, US West Communications, Cliff Natural Resources, Northern Oil and Gas, and others.  Arkansas alleged that these bonds were unsuitable for clients with low risk tolerances.

 

Mark Rogers was a financial advisor and registered representative of SII Investments from October 2012 to February 2018.  He also worked with LPL Financial from February 2018 to the present.  He worked at branch offices in Little Rock, Arkansas.  Rogers also operated the Rogers Accounting Firm and Rogers Wealth Management.

 

Brokerage firms like SII Investments and LPL Financial 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 Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Arkansas.  Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past, including against SII Investments and LPL Financial.

 

Click to view:  Mark Rogers BrokerCheck

Click to view:  Rogers, Mark Arkansas Order

 

If you lost money with Mark Rogers, SII Investments, Peabody Energy Corp., PHI Inc., Century Link, US West Communications, Cliff Natural Resources, or Northern Oil and Gas, CONTACT US at 720-599-3505 for a free evaluation of your case.