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.
JOHN LAWRENCE ALEX (JOHN L ALEX) has been registered both as a broker and financial advisor with MORGAN STANLEY of Morristown, New Jersey, since11/15/2011. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN L ALEX has 36 years of experience in the securities industry and has been registered with 4 firms. Alex […]
JOSEPH KELLY (JOE KELLY) has been registered as a broker with VCS VENTURE SECURITIES of New York, NY since 6/17/2026. He was previously registered with SPARTAN CAPITAL SECURITIES LLC of New York, NY from 01/13/2017 - 12/18/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH KELLY has 21 years of experience […]
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, […]
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