Investors potentially experienced losses due to securities broker Rodney Lee Boelter (also known as Rod Boelter) [CRD: 3199789, Scottsdale, Arizona], according to disclosures on FINRA BrokerCheck. It appears that Boelter worked for MML Investors Services LLC from March 25, 2017, to August 2, 2021. He is currently registered with Osaic Wealth Inc., located in Scottsdale, Arizona, since August 2021. Keep reading to learn more about the client disputes and alleged conduct involving Boelter.
Evidently, on June 6, 2024, an MSI Financial Services Inc. client filed a complaint about Rodney Boelter. The client alleged that Boelter made omissions of material fact and misrepresentations. Because of this, the client allegedly sustained damages on variable annuities. Therefore, the client requested damages from MSI Financial Services Inc. or Boelter. The complaint was denied on July 24, 2024.
Also, a client of MML Investors Services LLC contested Rodney Boelter’s sales practices, according to a complaint. Allegedly, Boelter failed to follow instructions in 2020, which caused the client to incur losses. As a result, MML Investors Services LLC opted to settle the matter on May 12, 2020, by compensating the client in the amount of $1,300.
Specifically, on July 24, 2009, an AXA Advisors client filed a complaint about Rodney Boelter. The client alleged that Boelter made unsuitable recommendations by investing their retirement account in stocks, and further alleged that their accounts were incorrectly set up as non-retirement accounts. Because of this, the client allegedly sustained damages. Consequently, the client requested $174,000 in compensation from AXA Advisors or Boelter. However, the firm denied this complaint.
Particularly, a client of AXA Advisors contested Rodney Boelter’s sales practices, according to a complaint. Allegedly, Boelter made misrepresentations, claiming the client would not lose money in a variable annuity, that the account balance would be guaranteed, and that the client could withdraw funds when needed. Supposedly Boelter caused the client to sustain damages. Therefore, AXA Advisors opted to settle the matter on December 1, 2009, by compensating the client in the amount of $15,000.
Are you looking for more information about Rodney Boelter? If so, reach out to Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney. Soreide Law Group has recovered losses for investors throughout the country, works on a contingency fee basis, and advances all costs. Boelter and brokerage firms Boelter worked for deny any allegations of sales practice violations.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
Phone:
Fax: 1-954-760-6553
Email: [email protected]