Roger Dale Davis of Ooltewah Tennessee a stockbroker currently employed by ProEquities Inc. is the subject of a customer initiated investment related complaint on June 27, 2019 in which the customer sought $180,000.00 in damages supported by accusations that (1) the customer had been misled by Davis as it concerned the nature of unit investment trust products (2) unit investment trust transactions were not appropriate for the customer given the customer’s objectives for investing or needs and (3) Davis deprived the customer of information concerning the customer’s investment account during the period in which Davis was employed by ProEquities Inc.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that Davis is referenced in a customer initiated investment related written complaint on November 18, 2016 where the customer requested $12,369.00 in damages founded on allegations that the customer was provided false information about the risks of certificate of deposit products sold to the customer during the time that Davis was associated with SunTrust Investment Services Inc.
Davis has been registered with ProEquities Inc. since December 8, 2017.
