Chris Rogers: $500K Complaint Against Ridgegate Advisor

A recent investor complaint against Englewood, Colorado financial advisor Chris Rogers (CRD# 4453653) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity and an investment advisor with Ridgegate Advisors.

Mr. Rogers’ BrokerCheck report discloses one investor complaint. Filed in November 2025, it alleges that as a representative of Emerson Equity, he breached contract, acted negligently, misrepresented and omitted material facts, breached his fiduciary duty, and violated Arizona securities law, federal securities law, and the SEC’s Regulation Best Interest. The pending complaint alleges damages of $500,000.

For reference, FINRA rules and other industry standards prohibit brokers from misrepresenting material facts relating to the investments they recommend. Perhaps the most pertinent regulation is FINRA Rule 2020, which states that no broker shall “effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.” Representatives who misrepresent investments may be held liable for damages and/or subject to disciplinary action.

For reference, the SEC’s “Regulation Best Interest” is a standard of conduct that requires brokers to recommend only investments and strategies that are in their clients’ best interests. Both broker-dealer firms and their registered firms have what the regulation describes as a “Care Obligation,” under which they must “have a reasonable basis to believe that each recommendation or series of recommendations made is in the best interest of the particular retail customer and does not place their financial or other interests ahead of the interest of the retail customer.” Regulation Best Interest stipulates further that brokers and financial advisors must disclose to their clients any potential conflicts of interests that might consciously or unconsciously result in them providing “advice that is not disinterested,” as FINRA explains. More information about these rules is available via FINRA.

According to the Financial Industry Regulatory Authority, Chris Rogers holds 16 years of securities industry experience. Based in Englewood, Colorado, he has been registered as a broker with Emerson Equity since 2022 and an investment advisor with Ridgegate Advisors since 2025. His past registrations include AE Wealth Management, Ridgegate Financial, Jackson National Life Distributors, and Simmers Capital Management Corporation. His credentials include the passage of six securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7TO; and the Investment Company Products/Variable Contracts Representative Examination, or Series 6TO. He is licensed in California, Colorado, and Texas. (Information current as of December 25, 2025.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.