Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Ingwersen (Ingwersen), currently associated with Aw Securities, has at least one disclosable event. These events include one customer complaint, alleging that Ingwersen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $334,936.00 on May 14, 2026.
The customer alleges that respondents The Harvest Group Wealth Management, LLC, Roger H. Ingwersen, Laurie Ingwersen and Todd Ingwersen collectively engaged in unsuitable investment practices, misrepresentations, and failed to act on client instructions, resulting in avoidable losses. The respondents each deny all wrongdoing, and maintain that all actions were consistent with the clients' instructions and risk profiles, and attributes losses to market conditions rather than mismanagement. Customer dispute was resolved on May 7, 2026 via settlement. Respondents deny all allegations and did not admit liability. No findings were made by any regulatory body or arbitration panel.