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2023079833901 Chad M. Rogers CRD 4029698 AWC lp.pdf
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2023079833901 Chad M. Rogers CRD 4029698 AWC lp.pdf
Between August 2022 and June 2023, while associated with IFP. Rogers impersonated 14 customers during 22 phone calls to his prior firm seeking 10 have his customers' accounts transferred to IFP or transfer funds to the customers' bank accounts. By virtue of this conduct. Rogers violated FINRA Rule 2010 and is suspended in all capacities for 45 days and fined $5,000. conducL Rogers violated FINRA Rule 2010 and is suspended in all capacities for 4…
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