Published On: October 12, 2015

According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, Jeffrey Rodgers is not licensed as a broker or investment advisor. He was formerly registered with Morgan Stanley in Bend, Oregon and Merrill Lynch in Bend. Mr. Rodgers was accused of receiving loans in violation of the policies of his member firm, Morgan Stanley. He did not request or obtain approval from his member firm for loans totaling $38,600 that he received from separate customers, and additionally failed to repay most of the loans. In one instance, his member firm reimbursed a customer $10,500. He also allegedly engaged in outside business activities when he was registered with Morgan Stanley, and received compensation for them. He did not provide written notice to Morgan Stanley about his activities. This is commonly referred to as “selling away” and is when a broker solicits securities without the approval of his member firm. It is against securities rules and regulations.

Jeffrey E. Rodgers was registered with Merrill Lynch in Bend, Oregon from August 2005 until September 2010 and Morgan Stanley in Bend from September 2010 until May 2013. He has one customer dispute against him. He is not licensed within the industry. If you or someone you know invested money with Jeffrey E. Rodgers, you may be able to recover your investment losses by calling our Chicago-based securities law firm at 312-332-4200 to speak with an attorney. We sue firms such as Morgan Stanley in the FINRA arbitration forum because of their inability to reasonably supervise their registered representatives, such as Mr. Rodgers. The call is free with no obligation and we take cases on a contingency fee basis only.

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If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

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