Can I recover losses from investments with LPL Financial LLC broker Roger Sims (CRD# 2838516) regarding real estate investment trusts (REIT) investment losses? He has been registered with LPL Financial LLC in Greer, South Carolina since 2008.
Roger Sims Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
January 2022. “Claimants allege that between May 2014 and November 2015 representative made unsuitable investments in REITs.” The case is currently pending.
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, LPL Financial LLC may be liable for investment or other losses suffered by Roger Sims’ 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.