Gary Roland Rodgers, of Austin, Texas, a stockbroker formerly registered with WFG Investments, Inc., is the subject of a customer initiated investment related written complaint on June 15, 2017, in which the customer requested $99,000.00 in damages based upon allegations that Rodgers failed to apprise the customer about holding periods, liquidity, and other terms and conditions pertaining to four alternative investments effected in her account between 2012 and 2015.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on December 13, 2008, a customer filed an investment related written complaint involving Rodgers’ conduct, where the customer sought $23,000.00 in damages supported by accusations that while Rodgers was associated with ING Financial Advisers, LLC, he failed to execute upon the customer’s instructions regarding the transfer of the customer’s assets into a money market mutual fund.
Rodgers’ registration with WFG Investments, Inc. was terminated on August 21, 2017, at which point he became associated with Sigma Financial Corporation. Since September 3, 1982, he has been associated with eleven different broker dealers, one of which has been expelled by securities regulators for violation of federal securities laws or is otherwise defunct.
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