{"id":9589,"date":"2020-12-29T09:28:24","date_gmt":"2020-12-29T14:28:24","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9589"},"modified":"2020-12-29T09:28:24","modified_gmt":"2020-12-29T14:28:24","slug":"finra-bars-broker-roger-duval-after-elder-financial-abuse","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-roger-duval-after-elder-financial-abuse\/","title":{"rendered":"FINRA Bars Broker Roger Duval After Elder Financial Abuse"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-9590 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/12\/Roger-Duval.jpg\" alt=\"Roger Duval (Roger Allen Duval CRD#: 2503718) is a former registered broker and investment advisor whose last known employer was Pruco Securities, LLC. (CRD#:5685) of Bellevue, WA.\u00a0 His previous employers include MML Investors Services, LLC (CRD#:10409) and MSI Financial Services, Inc. (CRD#:14251) both of Spokane, WA, and Allstate Financial Services, LLC (CRD#:18272) of Liberty Lake, WA.\u00a0 He has been in the industry since 1994. Duval is the subject of nine disclosures. A recent client dispute filed on 9\/11\/2020 alleges that Duval borrowed an unspecified amount of money in March of 2018, and has failed to pay it back. Beginning in January of 2019, Duval made \u201cunspecified unsuitable recommendations,\u201d and began making unauthorized transfers away from the firm without the knowledge and consent of the client. This case is currently \u201cpending,\u201d and no requested damages are noted. On 3\/2\/2020, a different client dispute alleges that Duval misappropriated funds, and failed to fully disclose facts regarding the client\u2019s investment objective. This claim was denied. No further information is available.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/12\/Roger-Duval.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/12\/Roger-Duval-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Roger Duval (Roger Allen Duval CRD#: <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/2503718\" target=\"_blank\">2503718<\/a>) is a former registered broker and investment advisor whose last known employer was Pruco Securities, LLC. (CRD#:5685) of Bellevue, WA.\u00a0 His previous employers include MML Investors Services, LLC (CRD#:10409) and MSI Financial Services, Inc. (CRD#:14251) both of Spokane, WA, and Allstate Financial Services, LLC (CRD#:18272) of Liberty Lake, WA.\u00a0 He has been in the industry since 1994. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-roger-duval-after-elder-financial-abuse\/#more-9589\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Roger Duval (Roger Allen Duval CRD#: 2503718) is a former registered broker and investment advisor whose last known employer was Pruco Securities, LLC. (CRD#:5685) of Bellevue, WA.\u00a0 His previous employers include MML Investors Services, LLC (CRD#:10409) and MSI Financial Services, Inc. (CRD#:14251) both of Spokane, WA, and Allstate Financial Services, LLC (CRD#:18272) of Liberty Lake, [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[582,580],"tags":[],"class_list":["post-9589","post","type-post","status-publish","format-standard","hentry","category-elder-fraud","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Bars Broker Roger Duval After Elder Financial Abuse<\/title>\n<meta name=\"description\" content=\"Roger Duval is a former registered broker and investment advisor whose last known employer was Pruco Securities, LLC. of Bellevue, WA.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-roger-duval-after-elder-financial-abuse\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Bars Broker Roger Duval After Elder Financial Abuse\" \/>\n<meta name=\"twitter:description\" content=\"Roger Duval is a former registered broker and investment advisor whose last known employer was Pruco Securities, LLC. of Bellevue, WA.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/12\/Roger-Duval.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"4 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Bars Broker Roger Duval After Elder Financial Abuse","description":"Roger Duval is a former 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minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-roger-duval-after-elder-financial-abuse\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-roger-duval-after-elder-financial-abuse\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"FINRA Bars Broker Roger Duval After Elder Financial Abuse","datePublished":"2020-12-29T14:28:24+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-roger-duval-after-elder-financial-abuse\/"},"wordCount":777,"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-roger-duval-after-elder-financial-abuse\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/12\/Roger-Duval.jpg","articleSection":["Elder Fraud","Stockbroker 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