Roger Scott Green, of Duluth, Georgia, a stockbroker registered with Cetera Advisors LLC, was the subject of a customer initiated investment related complaint that was settled on December 17, 2021, for $27,500.00 in damages based upon the alleged unsuitable investment recommendation of real estate securities during the time that Green was associated with Cetera Advisors LLC.
This is not the first time that Green has been referenced in a customer initiated investment related dispute concerning Green’s conduct in the securities industry. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Green was also referenced in a customer initiated investment related complaint filed on May 15, 2003, in which the customer requested $8,694.00 in damages based upon alleged misrepresentations of material fact in connection with the sale of variable annuities and variable universal life insurance products during the period that Green was associated with IFG Network Securities. The complaint was closed without a resolution.
Green was also referenced in a FINRA securities arbitration claim that was settled for $50,000.00 in damages based upon alleged unsuitable investment recommendations of real estate securities during the time that Green was associated with Cetera Advisors LLC. FINRA Arbitration No. 21-01599 (May 27, 2022).
Green has been associated with Cetera Advisors LLC in Duluth, Georgia, since January 1, 2004, as a stockbroker, and with Cetera Investment Advisors LLC since March 21, 2024, as an investment advisor representative. He was associated with Cetera Advisors LLC in Greenwood Village, Illinois, as an investment advisor representative from January 1, 2004, to March 21, 2024.
