Haselkorn & Thibaut, a national investor advocacy law firm with over 50 years of experience, has initiated an independent investigation into financial advisor Chris Rogers (CRD# 4453653) of Emerson Equity in Englewood, Colorado. If you have concerns about your investments with Chris Rogers or have questions regarding your legal rights, we encourage you to reach out for a free, confidential consultation at 1-888-885-7162.
Understanding the Background: Chris Rogers of Emerson Equity, Englewood, CO
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Chris Rogers is a registered broker at Emerson Equity as well as an investment advisor with Ridgegate Advisors, both based in Englewood, Colorado. His career in the securities industry spans 16 years, with current licenses in California, Colorado, and Texas.
Key highlights of his background include:
- Registered as a broker with Emerson Equity since 2022
- Investment advisor with Ridgegate Advisors since 2025
- Past affiliations: AE Wealth Management, Ridgegate Financial, Jackson National Life Distributors, Simmers Capital Management Corporation
- Six securities industry qualifying examinations passed, including the Series 7TO and Series 65
Chris Rogers – Investor Complaint Details
A significant investor complaint was filed against Chris Rogers in November 2025. The complaint, made while he was a representative of Emerson Equity, alleges several serious claims:
- Breach of contract
- Negligence
- Misrepresentation and omission of material facts
- Breach of fiduciary duty
- Violations of Arizona securities law, federal securities law, and SEC’s Regulation Best Interest
The damages sought in the case amount to $500,000. This complaint is presently listed as pending.
Key Regulatory Standards – What Investors Need to Know
The regulatory environment within which Chris Rogers operates is defined by high standards:
- FINRA Rule 2020 restricts brokers from using manipulative, deceptive, or fraudulent devices to induce investment transactions.
- SEC Regulation Best Interest (“Reg BI”) requires brokers and advisors to act in the client’s best interest, avoid conflicts, and make appropriate disclosures.
- Investment advisors have a fiduciary duty to act in good faith, fairly, and in full transparency.
Any alleged violations of these standards are taken seriously—both for investor protection and market integrity.
Regulatory Record: Chris Rogers – An Overview
Despite the $500,000 investor complaint, a comprehensive review of Chris Rogers’ regulatory records (as of mid-2024) reveals:
| Source | Findings |
|---|---|
| FINRA BrokerCheck | No finalized customer arbitration claims or lawsuits. No disciplinary actions or regulatory enforcement on record. Check BrokerCheck here. |
| SEC EDGAR | No enforcement or administrative actions against Chris Rogers or under his CRD. |
| PACER (Federal Court System) | No civil or criminal court actions found. |
| State Regulators & Consumer Portals | No open investigations or substantiated complaints. |
Please remember that regulatory records can change—investors are advised to periodically recheck these databases for updates.
What Are the Red Flags for Investors?
Based on the available disclosures, including the current pending $500,000 complaint, investors working with Chris Rogers should be vigilant about:
- Unexplained investment losses or surprise account activity
- Lack of transparency in fee or product disclosures
- Incomplete or delayed statements regarding investments
- Communication gaps about risks or strategy changes
- Recommendations that appear unsuitable for their risk tolerance or goals
If you recognize any of these red flags,
it’s time to seek an independent, confidential review of your account activities.
How Haselkorn & Thibaut Can Help Investors
If you are a current or former client of Chris Rogers, Emerson Equity, or Ridgegate Advisors and believe you have suffered undue investment losses, Haselkorn & Thibaut can help you assess your legal options. Our team has a 98% success rate helping investors recover millions of dollars nationwide on a no recovery, no fee basis.
Why choose Haselkorn & Thibaut?
- Over 50 years of combined legal experience focused exclusively on investment fraud and financial advisor misconduct
- Personalized attention & rigorous case investigation, no matter the size of your investment
- National reach—handling cases in all 50 states
- Free, confidential consultations for concerned investors and family members
We help answer critical questions such as:
- Were all investment risks properly disclosed to you?
- Did your advisor act in your best interest?
- Are you a victim of advisor negligence or misconduct?
Take the Next Step: Protect Your Investments and Rights
If you have questions about your investments with Chris Rogers of Emerson Equity in Englewood, CO, or if you have experienced unexpected losses, you are not alone. The pending $500,000 investor complaint is a reminder of the importance of diligent oversight and independent counsel.
Don’t wait for a resolution to act or learn more about your legal rights. Contact Haselkorn & Thibaut today for a free, confidential evaluation:
- Call 1-888-885-7162 now: Our team is ready to answer your questions.
- Request your free case review (no obligation).
Our goal: To help investors get clarity, recover losses, and restore financial peace of mind.
Be informed. Be empowered. Let us help you take action.
