Kregg Rooze Named as a Control Person in an Investor Dispute
Kregg Rooze (CRD #: 3174063), a broker registered with CFD Investments, was named as a control person in an investor dispute, according to his BrokerCheck record, accessed April 12, 2022. He is also an investment advisor registered with Creative Financial Designs.
Investor Allegations
On February 1, 2022, an investor alleged that Kregg Rooze failed to supervise. He allegedly failed to catch red flags of misconduct when Dana Vietor allegedly engaged in the sale of private investments in companies he had ownership or control of.
The investor is seeking $345,000ーthe case is still pending.
Failure to Supervise
FINRA Rule 3110 requires firms to:
- Maintain a supervisory system reasonably designed to achieve compliance with FINRA rules.
- Designate a registered principal whose job is to carry out supervisory responsibilities.
- Make reasonable efforts to determine that all supervisory personnel are qualified, either by experience or training.
Background Information
Kregg Rooze has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
- Series 24 – General Securities Principal Examination
Kregg Rooze is a registered broker in 14 states. He is also a registered investment advisor in Ohio, Indiana, and Iowa.
Besides CFD Investments and Creative Financial Designs, Kregg Rooze has not worked with any other firm.
Kurta Law Can Help
If you have worked with Kregg Rooze and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.