National investment loss lawyers KlaymanToskes is investigating broker Cody Roos (CRD# 6694181) of LPL Financial, who has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following his violation of FINRA rules by allegedly forging and/or falsifying customer signatures.
FINRA’s investigation found that from December 2018 through November 2021, Roos forged or falsified the electronic signature of 30 customers on a total of 53 account documents. Roos also allegedly falsely attested in three annual compliance questionnaires that he had not signed or affixed another person’s signature on a document.
According to FINRA BrokerCheck, Cody Robert Roos was previously registered as a broker with LPL Financial from 2018 to 2022 in Warrenton, OR. Roos was also previously registered with Park Avenue Securities from 2016 to 2017 in Portland, OR.
Investors that suffered losses with broker Cody Roos are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at lawrence@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
KlaymanToskes is a leading national investment loss law firm that represents the interests of investors throughout the world who have suffered losses due to broker misconduct, investment fraud, and securities violations.
The articles linked below contain important information relating to KlaymanToskes’ investigation of broker Cody Roos:
If you suffered losses with broker Cody Roos, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.
The firm has helped recover over $600 million* for investors, and can help you determine if your loss is due to financial advisor misconduct, unsuitable investment advice, and/or other securities violations.
*Exclusive of attorney’s fees and costs.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Cody Roos. These signs could potentially indicate misrepresentation, omission, negligence, or misconduct. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
According to FINRA, brokerage firms such as LPL Financial are responsible for the supervision of all of the activities of their registered brokers and investment advisors. Investors may be entitled to a financial recovery if their brokerage firm failed to supervise the representative managing their brokerage account, and/or if their broker/advisor made unsuitable investment recommendations.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Cody Roos, or have concerns regarding your investment portfolio at LPL Financial, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.