Investors potentially experienced sales practice violations due to securities broker Rodger Anthony McAlister [CRD: 2676623, Louisville, Kentucky], according to disclosures on FINRA BrokerCheck. Evidently, McAlister has worked for Money Concepts Capital Corp since December 12, 2005, and for Money Concepts Advisory Service since March 12, 2007. Read below to learn more about McAlister’s disclosures and how they may have impacted investors.
Specifically, a client filed a complaint about Rodger McAlister. Mainly, the client alleged that McAlister made unsuitable recommendations. Consequently, the investor allegedly incurred damages linked to real estate securities. Therefore, on August 19, 2024, Money Concepts Capital Corp settled this matter by paying the client $95,000.00 in damages.
Particularly, a client of Money Concepts Capital Corp contested Rodger McAlister’s sales practices by bringing FINRA Arbitration No. 21-01927. Allegedly, McAlister gave unsuitable advice, made omissions and misrepresentations, and breached his fiduciary duty. It appears that McAlister caused the client to sustain damages on real estate securities. As a result, Money Concepts Capital Corp opted to settle the matter on November 29, 2021, by paying $14,900.00.
Notably, on September 29, 2008, a Raymond James Financial Services Inc. client filed a complaint about Rodger McAlister. Primarily, the client alleged that McAlister made misrepresentations about guarantees on closed-end mutual funds. For this reason, the client requested $5,000.00 in compensation from Raymond James Financial Services Inc. or McAlister. However, the firm denied this complaint.
Are you concerned regarding investments you made with Rodger McAlister? If so, contact Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer regarding recovering your investment losses. For years, Soreide Law Group has recovered losses for investors throughout the country. The firm also takes cases on a contingency fee basis and advances all costs. McAlister and brokerage firms McAlister worked for deny accusations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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