Goodman & Nekvasil P.A., May Recover Investor Losses on Puerto Rico Bonds and/or Other Investments | Mark Francis Rogers (Buck Rogers), Financial Advisor Found Jointly and Severally Liable
Buck Rogers has been licensed with Wells Fargo Clearing Services, LLC since 2010. FINRA reports that an arbitration claim was filed involving Buck Rogers’ conduct while licensed with Wells Fargo Clearing Services, alleging breach of fiduciary duty of care; recommendation of unsuitable securities and investment strategies; professional negligence; unauthorized trading and per se unsuitability; breach of contract; breach of implied covenant of good faith and fair dealing; breach of fiduciary duty of loyalty; negligent misrepresentations and omissions; manipulative and deceptive practices; constructive fraud; negligent supervision; and rescission of investment advisory contracts and restitution relating to Puerto Rico municipal bonds. This case did not settle and proceeded to final hearing. The arbitration panel found Wells Fargo Advisors, LLC and Buck Rogers liable and ordered Wells Fargo Advisors, LLC and Buck Rogers to pay claimant compensatory damages in the amount of $4,179,116, $2,693,025.41 in attorneys’ fees, $500,000 in punitive damages, $206,324.04 in costs, $165,718.50 in remission of advisory fees, and $101,670.21 in monetary sanctions.
If you lost any money on Puerto Rico bonds and/or other investments with Buck Rogers, you may be able to recover your losses from Wells Fargo Clearing Services, LLC. This is because Wells Fargo Clearing Services, LLC had a duty to supervise Buck Rogers.
If you lost money on Puerto Rico bonds and/or other investments with Buck Rogers and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Wells Fargo Clearing Services, LLC concerning Buck Rogers’ conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action.
Goodman and Nekvasil has recovered more than $180 million on behalf of victimized investors. If you lost money on Puerto Rico bonds and/or other investments with Buck Rogers and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.