Investors potentially incurred losses because of securities broker Roger Henry Ingwersen (also known as Roger Harold Ingwersen) [CRD: 255050, Phoenix, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ingwersen has been registered with AW Securities since July 5, 2023, and Allworth Financial, L.P. since July 5, 2023, and previously worked with The Harvest Group from October 4, 2016, to August 10, 2023, and Purshe Kaplan Sterling Investments from September 30, 2016, to June 30, 2023. Keep reading to find out more about Ingwersen’s disclosures.
Particularly, on February 13, 2025, a The Harvest Group Wealth Management LLC client filed AAA Arbitration No. 01-24-0008-1863 about Roger H. Ingwersen. Mainly, the client alleged that Ingwersen failed to follow client instructions, made misrepresentations, and made unsuitable recommendations. Because of this, the client allegedly incurred damages related to leveraged ETFs. Consequently, the client requested compensatory damages from The Harvest Group Wealth Management LLC or Ingwersen. This arbitration is ongoing.
Specifically, a client of Purshe Kaplan Sterling Investments disputed Roger Ingwersen’s sales practices, according to a complaint dated February 22, 2019. Allegedly, Ingwersen breached a fiduciary duty, made unsuitable recommendations, was negligent, and made misrepresentations. It appears that Ingwersen allegedly caused the client to sustain damages. As a result, the client sought compensation from Purshe Kaplan Sterling Investments or Ingwersen in the amount of $200,000 in this matter. However, the firm denied this complaint.
Do you have concerns or questions regarding investments you made with Roger Ingwersen? Reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities attorney regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Ingwersen and brokerage firms Ingwersen worked for deny allegations of sales practice violations.
Soreide Law Group is investigating potential investor claims involving Blue Owl Capital Corporation (NYSE: OBDC), including whether brokers and financial advisors properly explained the risks surrounding this publicly traded business development company and its related private credit platform. OBDC invests primarily in loans to middle-market companies and is often marketed as an income-generating investment. However, […]
Investors potentially experienced sales practice violations by securities broker Mark Perry Kissinger [CRD: 4546631, Frisco, Texas], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kissinger worked for NYLIFE Securities LLC since November 27, 2018, and Eagle Strategies LLC since March 15, 2023. Read on for a better understanding about the disclosures involving this […]
Investors have reportedly disputed the sales practices of securities broker Robert Steven Wilkinson [CRD: 1180321, Oakland, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wilkinson worked for Western International Securities Inc. from November 26, 2013, to June 5, 2025, and later registered with LPL Financial LLC beginning June 5, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com