JOHN MARK ROGERS at UBS FINANCIAL SERVICES INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 3094973
JOHN MARK ROGERS is an Investment Adviser, associated with UBS FINANCIAL SERVICES INC. located at TYLER, TX. JOHN ROGERS’s Central Registration Depository (CRD) number is 3094973 and the FINRA Profile can be found at –

Disclosure #1 for JOHN ROGERS

    • Event Date: 5/22/2020
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: Time frame: Unspecified Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.
    • Damage Amount Requested: $400,000.00
    • Settlement Amount: $20,000.00
    • Arbitration Docket Number:
See also  Michael R Teller at UBS FINANCIAL SERVICES INC. - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

Should I file a FINRA complaint against brokers like JOHN MARK ROGERS?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by JOHN MARK ROGERS’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

See also  GREGORY SQUIRE HURST at UBS FINANCIAL SERVICES INC. - View Complaints, Disclosures, Scams and Audit Report (Updated 2023) helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.

Frequently Asked Questions About JOHN MARK ROGERS

What is JOHN ROGERS's Central Registration Depository (CRD) Number?


Which firm is JOHN MARK ROGERS associated with?


Where is JOHN ROGERS located?

6101 S. BOADWAY, TYLER, TX, 75703

Where can I find more details about JOHN ROGERS's Investment Firm?

Visit to read a detailed report for UBS FINANCIAL SERVICES INC.

Are there any disclosures, allegations or complaints filed against JOHN MARK ROGERS?

Yes. There are disclosures, allegations, or complaints filed against JOHN MARK ROGERS. Click here to view all details

Where can I download a detailed FINRA report for JOHN ROGERS?

Click here to download a detailed FINRA report for JOHN ROGERS

Is it safe to do business with JOHN MARK ROGERS?

We’re not sure. Please research JOHN ROGERS’s disclosures, allegations and complaints before taking a decision

See also  STANTON KONRAD JONES at STIFEL, NICOLAUS & COMPANY, INCORPORATED - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

Report Inaccuracy

All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.


Originally reported on November 17, 2022 @ 9:01 pm

Share your experience with this broker

Leave a reply

Broker Audit
Register New Account