Former The Harvest Group broker Roger Ingwersen (CRD# 255050) is accused of exchange-traded fund (ETF) losses. He has been registered with AW Securities in Phoenix, Arizona, since 2023, and Allworth Financial, L.P. in Waltham, Massachusetts, since 2023. He was registered with The Harvest Group in Waltham, Massachusetts, from 2016 to 2023, Purshe Kaplan Sterling Investments in Waltham, Massachusetts, from 2016 to 2023, and UBS Financial Services Inc. in Wellesley, Massachusetts, from 2008 to 2016.
Roger Ingwersen Customer Complaints
He has been the subject of two customer complaints between 2019 and 2026, one of which was denied, according to his CRD report:
May 2026. “The customer alleges that respondents The Harvest Group Wealth Management, LLC, Roger H. Ingwersen, Laurie Ingwersen and Todd Ingwersen collectively engaged in unsuitable investment practices, misrepresentations, and failed to act on client instructions, resulting in avoidable losses. The respondents each deny all wrongdoing, and maintain that all actions were consistent with the clients’; instructions and risk profiles, and attributes losses to market conditions rather than mismanagement. Customer dispute was resolved on May 7, 2026 via settlement. Respondents deny all allegations and did not admit liability. No findings were made by any regulatory body or arbitration panel.” The customer sought $334,936 in damages, and the case was settled for $565,000. The complaint was regarding leveraged exchange-traded funds, and it took place while he was registered with The Harvest Group.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, The Harvest Group may be liable for investment or other losses suffered by Roger Ingwersen’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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