Investors might have sustained losses due to securities broker Roger William Bowlin [CRD: 1905652, Kirkland, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Bowlin worked for Aurora Securities beginning April 30, 2021, and also served as an investment adviser with Secure Asset Management LLC starting June 4, 2021; previously, he was registered with Concorde Asset Management LLC and Concorde Investment Services LLC from May 23, 2016, through April 30, 2021. Continue reading to learn more about client disputes disclosed on Bowlin’s FINRA BrokerCheck report.
Notably, on October 14, 2025, an Aurora Securities client filed FINRA Arbitration No. 25-02197 about Roger Bowlin. Mainly, the client alleged that Bowlin made unsuitable recommendations. For this reason, the client allegedly incurred damages relating to real estate securities. As a result, the client requested $475,000 in compensation from Aurora Securities or Bowlin. It appears that this arbitration is pending a resolution.
Particularly, on September 30, 2025, an Aurora Securities client filed FINRA Arbitration No. 25-02090 about Roger Bowlin. Primarily, the client alleged that Bowlin made unsuitable recommendations. Because of this, the client allegedly sustained damages linked to real estate securities. Consequently, the client requested $1,000,000 in compensation from Aurora Securities or Bowlin. It appears that this arbitration is pending a resolution.
Specifically, a client of Aurora Securities disputed Bowlin’s sales practices by filing FINRA Arbitration No. 25-01863 on September 5, 2025. Allegedly, Bowlin mismanaged investment accounts. It appears that Bowlin allegedly caused the client to incur damages associated with real estate securities. Therefore, the client seeks compensation from Aurora Securities or Bowlin in the amount of $5,000,000 in this ongoing matter.
Did you suffer any investment-related losses because of Roger Bowlin? If so, reach out to Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Bowlin and brokerage firms Bowlin worked for deny allegations of sales practice violations.
Investors apparently complained about securities broker Rainer Rudi Hohlbein (also known as Rainer Rudi Hohlbeim) [CRD: 1282146, Verona, Wisconsin], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hohlbein worked for LPL Financial LLC from October 11, 2011, to October 13, 2021. See the following information to find out more about the disclosures involving […]
Investors potentially incurred losses because of securities broker Timothy Richard Farris [CRD: 2178521, West Bloomfield, Michigan], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Farris worked for Sigma Financial Corporation from May 15, 2015, to December 17, 2021, SPC from November 15, 2021, to December 17, 2021, and Cetera Advisors […]
Investors potentially experienced sales practice violations by securities broker Christopher Daniel Tully [CRD: 870889, New Rochelle, New York], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Tully worked for Oppenheimer Co. Inc. from February 17, 2009, and has remained registered with the firm since November 18, 2011. Read on for […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com