There are options for clients of former Truist Advisory Services, Inc. broker Roger Wallach (CRD# 2460445), who suffered investment losses related to broker negligence. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Vienna, Virginia, since 2022. Previously, he was registered with Truist Advisory Services, Inc. in Mclean, Virginia, from 2016 to 2022.
Roger Wallach Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
November 2022. “Client alleges the firm and advisor were negligent regarding advice given to change his accounts to managed without any consideration for the tax liability.” The case is currently pending. The complaint was related to managed advisory accounts, and it took place while he was registered with Truist Advisory Services, Inc.
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, Truist Advisory Services, Inc. may be liable for investment or other losses suffered by Roger Wallach’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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