Haselkorn & Thibaut is investigating potential investment-related matters involving Allworth Financial Group and financial advisor Vickie Bogner, based in Lawrence, Kansas. Our experienced securities attorneys are examining claims regarding investment recommendations and suitability standards.
Financial Industry Regulatory Authority (FINRA) records indicate a customer dispute against Ms. Bogner seeking $210,000 in damages. This matter involves questions about investment suitability and adherence to industry standards.
Our investigation focuses on whether proper investment recommendations were made to clients in accordance with FINRA regulations. If you have experienced investment losses, FINRA arbitration may provide a path for recovery.
Haselkorn & Thibaut specializes in representing investors who have suffered financial losses related to investment recommendations or broker conduct.
Background Information: Vickie Bogner
Table of Contents
Professional Identity and Registration
Victoria Marie Bogner holds CRD Number 5048328 in the Financial Industry Regulatory Authority database. She also operates under the names Victoria Marie Martinson and Vickie Bogner in professional contexts.
The CRD system provides transparency for investors to research the background of investment professionals. This information is publicly available and essential for investor due diligence.
Employment History
Ms. Bogner currently works at AW Securities, a subsidiary of Allworth Financial, L.P. Her career spans over 15 years in the financial services industry:
- 2006-2023: Stockbroker and financial advisor at Cetera Advisor Networks LLC
- 2007-2023: Concurrent employment at Affinity Financial Advisors
This extensive employment history demonstrates significant experience in the financial advisory sector.
Business Activities
Beyond her advisory roles, Ms. Bogner has operated under the business name McDaniel-Knutson Financial Partners. She owns Bogner Publishing and authored “Money Moves: A Financial Action Plan for Your 30s and 40s.”
The Securities Exchange Act requires clear disclosure of business activities, which is important when evaluating investment recommendations.
Pending Customer Dispute
A customer dispute was filed against Ms. Bogner in July 2024, seeking $210,000 in damages. The complaint relates to investment recommendations involving non-traded business development companies.
The investor alleges that the recommended investments were unsuitable for their financial situation and investment objectives. Financial advisors have a regulatory obligation to recommend only suitable investments that align with clients’ risk tolerance and financial goals.
Understanding Alternative Investments
Definition and Categories
Alternative investments include assets beyond traditional stocks, bonds, and cash equivalents. Main categories include:
- Hedge funds
- Private capital
- Natural resources
- Real estate investments
- Infrastructure
These investment vehicles typically require larger minimum investments and may have different liquidity characteristics compared to traditional securities.
Key Characteristics
Alternative investments often feature:
- Limited liquidity – longer holding periods with restricted ability to sell
- Complex fee structures – often including management fees and performance fees
- Less regulatory oversight than traditional securities
- Valuation challenges due to limited public market trading
FINRA regulations require financial advisors to fully explain these characteristics and ensure suitability before recommending such investments.
Current Investigation
Haselkorn & Thibaut is examining allegations that Ms. Bogner recommended non-traded business development companies that may not have been suitable for certain clients’ risk profiles and financial objectives.
Our investigation addresses potential concerns regarding:
- Investment suitability standards
- Proper disclosure of investment risks
- Adherence to FINRA regulations
- Client-focused recommendation practices
Legal Options for Investors
FINRA Arbitration Process
FINRA arbitration provides a forum for investors to seek recovery of investment losses related to broker conduct or unsuitable recommendations. This process is designed to resolve securities-related disputes efficiently.
No Upfront Costs
Haselkorn & Thibaut handles investment cases on a contingency fee basis. This means:
- No legal fees unless we achieve a recovery
- No upfront costs to pursue your case
- Our fees are contingent on successful outcome
This arrangement allows investors to pursue their claims without financial barriers.
Take Action Today
If you have experienced investment losses with Vickie Bogner or Allworth Financial Group, time may be limited to pursue your claims.
Contact Haselkorn & Thibaut
Call 1-888-885-7162 for a free consultation
Our experienced securities attorneys will:
- Review your investment losses at no cost
- Evaluate the merits of your potential claim
- Explain your legal options
- Handle your case on a contingency fee basis
Haselkorn & Thibaut has extensive experience in FINRA arbitration and securities litigation. We are committed to protecting investors’ rights and helping recover losses from unsuitable investment recommendations.
