March 2018- Rogers, Arkansas
The FINRA records of Norris Richard (“Richie”) Roberts, Jr. , a former stockbroker who was last employed by Stephens Inc. disclose a recent regulatory matter resulting in a permanent bar from the securities industry.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In February 2018, to resolve allegations that he failed to provide FINRA requested documents and information in connection with an investigation concerning allegations that he was structuring withdrawals from his personal bank account for the purpose of avoiding his bank having to file Currency Transaction Reports Norris Rogers was permanently barred from the securities industry. FINRA Case 2017055357801.
According to recent press Roberts was involved in an illegal gambling business.
Ritchie Roberts was employed by Stephens from 9/2014-8/2017. Prior to that he was with Merrill Lynch.
If you have questions about an account handled by Norris R. Roberts, call for a no charge consultation to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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