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.
Investors potentially experienced sales practice violations by securities broker Kerrie Lynn Best [CRD: 2834846, Spring Hill, Florida], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kerrie Best worked for Raymond James Associates Inc. beginning August 9, 2006, as a securities broker and beginning August 10, 2006, as a financial advisor. Investors […]
Investors potentially incurred losses because of securities broker Cooper Morgan Carden [CRD: 6902893, Hoover, Alabama], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cooper Carden worked for Northwestern Mutual Investment Services LLC from December 10, 2019, to March 17, 2026. See below to find out more about the securities broker’s disclosures. Northwestern Mutual […]
Investors might have sustained losses due to securities broker Michael Owen Barry [CRD: 2690041, New Orleans, Louisiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Barry has been registered with Stifel Nicolaus Company in New Orleans, Louisiana, since July 7, 2015, as both a broker and financial advisor. Investors are encouraged to […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com