Roger Kroeger, Barred from Securities Industry and Discharged from INVEST Financial Corporation – Goodman & Nekvasil P.A., May Recover Investor Losses
Roger Kroeger was a licensed financial advisor with INVEST Financial Corporation from 1990 to 2017. FINRA reports that Roger Kroeger was discharged from INVEST Financial Corporation on November 17, 2017. INVEST Financial Corporation reported to FINRA that Roger Kroeger admitted to facilitating a loan to Roger Kroeger’s sister from a senior client and was subsequently charged with multiple felony offenses in connection with these circumstances.
Roger Kroeger was barred from the securities and investment banking industry on September 5, 2018. FINRA reports that Roger Kroeger consented to the sanction and to the entry of findings that Roger Kroeger refused to appear for FINRA on-the-record testimony.
FINRA reports that a complaint was filed involving Roger Kroeger’s conduct. The complaint alleged Roger Kroeger misappropriated cash funds. This complaint was settled for $206,084.
FINRA also reports that Roger Kroeger has multiple pending criminal charges against him, including exploitation of elderly of $100,000 or more, grand theft and money laundering.
If you lost any money on investments with Roger Kroeger, you may be able to recover your losses from INVEST Financial Corporation. This is because INVEST Financial Corporation had a duty to supervise Roger Kroeger.
If you lost money on investments with Roger Kroeger and believe 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 INVEST Financial Corporation concerning Roger Kroeger’s 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. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Roger Kroeger 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.