Stacey Lee Rognon, of Houston, Texas, a stockbroker currently registered with IMS Securities, Inc., has been named in a customer initiated investment related arbitration claim on July 15, 2016, in which the customer requested $3,000,000.00 in damages based upon allegations that Rognon made misrepresentations to the customer concerning investments, breached his fiduciary obligations to the customer, negligently managed the customer’s investment portfolio, and overconcentrated the customer’s assets in real estate and variable annuity products.

Guiliano Law Firm

Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at


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