Roger Ingwerson: $565K Complaint Against Ex-Harvest Group Advisor

Waltham, Massachusetts financial advisor Roger Ingwerson (CRD# 255050) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with AW Securities and an investment advisor with Allworth Financial.

Mr. Ingwerson’s BrokerCheck report discloses two investor complaints. The most recent, filed in May 2026, alleges that as a representative of The Harvest Group, he engaged in unsuitable practices, misrepresented material facts, and failed to follow instructions in connection with a leveraged exchange-traded fund product. The complaint reached a settlement of $565,000.

An earlier investor complaint, filed in 2019, alleged that as a representative of Purshe Kaplan Sterling, he acted negligently, breached his fiduciary duty, misrepresented material facts, committed fraud, and made unsuitable recommendations. The complaint alleged damages of $200,000 and was denied by the firm.

According to the Financial Industry Regulatory Authority, Roger Ingwerson holds 54 years of securities industry experience. Based in Waltham, Massachusetts, he has been registered as a broker with AW Securities and an investment advisor with Allworth Financial since 2023. His past registrations include The Harvest Group, Purshe Kaplan Sterling Investments, UBS Financial Services, Wachovia Securities, Prudential Securities, Bache Halsey Stuart, and Bache & Company. His credentials include the passage of nine 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 General Securities Representative Examination, or Series 7TO; the Foreign Currency Options Examination, or Series 15; the Registered Representative Examination, or Series 1; the Registered Options Principal Examination, or Series 4; the Registered Principal Examination, or Series 40; and the AMEX Put and Call Exam, or PC. He is licensed in Arizona, California, Florida, Maine, Massachusetts, New Hampshire, New York, Ohio, Rhode Island, and Tennessee. (Information current as of June 20, 2026.)

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