Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Roger Philip Turcotte [CRD: 1180997, Tampa, Florida]. Recent regulatory actions highlight concerns regarding Turcotte’s conduct, specifically allegations involving inaccurate recordkeeping and violations of firm policies.
On September 3, 2024, FINRA initiated disciplinary action against Roger Turcotte, citing violations related to the mismarking of order tickets. According to FINRA’s findings, Turcotte mismarked unsolicited orders for equity transactions that he had recommended to clients. These included four solicited purchases of low-priced over-the-counter (OTC) securities, which his firm prohibited representatives from recommending to clients. Turcotte earned commissions from these transactions, which would have been canceled if accurately marked.
To resolve the matter, Turcotte consented to FINRA’s Acceptance, Waiver & Consent (AWC) agreement. As part of the resolution, he was fined $10,000 and suspended from all registration capacities for two months, from October 7, 2024, to December 6, 2024.
Roger Turcotte’s professional history includes over three decades at Foresters Financial Services, Inc., where he built his career before transitioning to Cetera Investment Services LLC in 2019. He is currently registered with Cetera Investment Services LLC and Cetera Investment Advisers LLC, operating out of Tampa, Florida. Evidently, Turcotte held registrations in numerous states, including Florida, California, Texas, and New York, among others.
Looking for more information about Roger Turcotte? If so, reach out to Soreide Law Group online here or at (888) 760-6552 to speak with a securities attorney. With experience representing investors across the U.S., Soreide Law Group works on contingency, advances costs, and helps clients recover losses from sales practice misconduct when possible. Turcotte and the firms he has worked for deny accusations of sales practice violations.
Investors potentially experienced sales practice violations by securities broker Samuel Hughes Butterworth III (also known as Sam Butterworth) [CRD: 2793567, Austin, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Butterworth has worked for Merrill Lynch since October 23, 2009. Read on to find out more about Butterworth’s client-dispute disclosures. Sam Butterworth Disclosed […]
Investors apparently complained about securities broker Duvan Ledbetter Brock [CRD: 1632101, Calhoun, Georgia], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brock was registered with Dempsey Lord Smith LLC as a securities broker from August 24, 2009, to November 21, 2025, and as a financial advisor from August 26, 2009, to […]
Investors potentially incurred losses because of securities broker Juan Pablo Rionda [CRD: 2363399, Delray Beach, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rionda has been registered with Merrill Lynch as a securities broker since September 10, 1993, and as a financial advisor since September 16, 1993. See below to discover […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com