Eric Travis Roark of New York New York a stockbroker formerly registered with Ameriprise Financial Services has been discharged by the securities broker dealer on July 14, 2020 based upon accusations that Roark effected excessive fixed income securities trades in violation of company policy.
Roark has been identified in two customer initiated investment related disputes containing allegations of his misconduct while employed by Oppenheimer Co. and Bergen Capital. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that a customer filed an investment related complaint involving Roark’s conduct in which the customer sought $55,000.00 in damages founded on accusations that trades were executed in the customer’s account on an excessive basis and that recommendations were not suitable for the customer as it pertained to corporate debt investment transactions while Roark was associated with Bergen Capital.
Roark is the subject of another customer initiated investment related complaint on April 2, 2018 where the customer requested unspecified compensatory damages supported by allegations that Roark neglected to abide by the Oppenheimer customer’s instructions of liquidating the customer’s municipal debt holdings.
