{"id":8762,"date":"2020-01-07T12:09:56","date_gmt":"2020-01-07T17:09:56","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8762"},"modified":"2020-01-07T12:09:56","modified_gmt":"2020-01-07T17:09:56","slug":"roger-owens-previously-of-cetera-advisors-suspended-by-finra-for-unauthorized-sale-of-woodbridge-promissory-notes","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/roger-owens-previously-of-cetera-advisors-suspended-by-finra-for-unauthorized-sale-of-woodbridge-promissory-notes\/","title":{"rendered":"Roger Owens, Previously Of Cetera Advisors, Suspended By FINRA For Unauthorized Sale Of Woodbridge Promissory Notes"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-8546 size-medium\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/10\/Fraud-300x200.jpg\" alt=\"Roger Owens (CRD# 2359204), a broker previously employed by Cetera Advisors LLC in Elkton, Maryland, has been suspended by the Financial Industry Regulatory Authority (FINRA) from acting as a broker. Owens worked for Cetera for the past decade. Owens began in the industry in 1994. His problems began when he started selling unregistered Woodbridge securities. In 2018, he settled a customer complaint for $45,000 arising out of the sale of Woodbridge Mortgage Investment Funds.\u00a0 Among the allegations in that complaint were (1) violation of federal and state securities laws, (2) breach of contract and fiduciary duty, (3) common law fraud, and (4) negligence. Unfortunately, this complaint was only the tip of the iceberg.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/10\/Fraud.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/10\/Fraud-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Roger Owens (<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/2359204\" target=\"_blank\">CRD# 2359204<\/a>), a broker previously employed by Cetera Advisors LLC in Elkton, Maryland, has been suspended by the Financial Industry Regulatory Authority (FINRA) from acting as a broker. Owens worked for Cetera for the past decade.<\/p>\n<p>Owens began in the industry in 1994. His problems began when he started selling unregistered Woodbridge securities. In 2018, he settled a customer complaint for $45,000 arising out of the sale of Woodbridge Mortgage Investment Funds.\u00a0 Among the allegations in that complaint were (1) violation of federal and state securities laws, (2) breach of contract and fiduciary duty, (3) common law fraud, and (4) negligence. Unfortunately, this complaint was only the tip of the iceberg. <a href=\"https:\/\/www.silverlaw.com\/blog\/roger-owens-previously-of-cetera-advisors-suspended-by-finra-for-unauthorized-sale-of-woodbridge-promissory-notes\/#more-8762\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Roger Owens (CRD# 2359204), a broker previously employed by Cetera Advisors LLC in Elkton, Maryland, has been suspended by the Financial Industry Regulatory Authority (FINRA) from acting as a broker. Owens worked for Cetera for the past decade. Owens began in the industry in 1994. His problems began when he started selling unregistered Woodbridge securities. [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[593,580],"tags":[],"class_list":["post-8762","post","type-post","status-publish","format-standard","hentry","category-ponzi-schemes","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Roger Owens, Previously Of Cetera Advisors, Suspended By FINRA<\/title>\n<meta name=\"description\" content=\"Roger Owens, a broker previously with Cetera in Elkton, Maryland, has been suspended by FINRA for unauthorized sale of Woodbridge promissory notes.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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