Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Follis (Follis), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Follis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,600,000.00 on December 04, 2023.
Alleges Registered Representative took inappropriate risks purchasing unsuitable investments, overtrading options, and deviating from the investment plan.