Investors potentially experienced sales practice violations due to securities broker Shannon Renee Roehrs [CRD: 4359877, Las Vegas, Nevada], according to disclosures through FINRA’s BrokerCheck. Evidently, Shannon Roehrs has been registered with Merrill Lynch Pierce Fenner Smith Incorporated since October 23, 2009, and continues to serve as a broker and investment adviser at their Las Vegas, […]

Cantor Fitzgerald Income Trust Inc., previously known as Rodin Global Property Trust, is currently under increased scrutiny. This investment vehicle, categorized as a non-traded real estate investment trust (REIT), focuses on commercial properties that are typically leased to a single tenant. While this structure may seem appealing for generating consistent rental income, the trust’s recent […]

Investors potentially experienced losses due to securities broker Drew Matthew Peacock (also known as Matt Peacock) [CRD: 5834481, Pensacola, Florida], according to disclosures on FINRA BrokerCheck. Apparently, Peacock worked for Ameriprise Financial Services LLC from October 8, 2019 to April 5, 2024. Keep reading to learn more about the disclosures involving Peacock, including alleged unauthorized […]

Investors reportedly may have incurred losses due to securities broker B. David Goldstein [CRD: 1718066, Rancho Mirage, California], according to disclosures on FINRA BrokerCheck. It appears that Goldstein worked for Western International Securities Inc. from May 29, 2015, to June 22, 2022. He is currently registered with Osaic Wealth Inc. since June 14, 2024, and […]

Investors potentially experienced losses due to securities broker William Lee Campbell [CRD: 1180015, White Plains, New York], according to disclosures on FINRA BrokerCheck. It appears that William Campbell worked for David Lerner Associates Inc. from October 14, 2002, to May 18, 2023. Keep reading to learn more about the client complaints and regulatory filings involving […]

FINRA expelled securities broker Roger Albert Taft Gallagher [CRD: 5513745, Purchase, New York], according to disclosures on FINRA BrokerCheck. Evidently, Gallagher worked for Morgan Stanley from December 14, 2012 to September 6, 2024. Keep reading to learn more about the disclosures concerning Gallagher. FINRA Sanctioned Gallagher For Failing To Cooperate With An Investigation Evidently, on […]

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, […]

Investors potentially experienced losses due to securities broker Ray Don Gallette [CRD: 3041923, El Dorado Springs, Missouri], according to disclosures on FINRA BrokerCheck. Evidently, Gallette worked for Coastal Equities Inc. from January 4, 2013 to January 29, 2020. Keep reading to learn more about the disclosures involving this securities broker and the types of investments […]

Investors might have sustained losses due to securities broker Jonna Doris Keller (also known as Jonna Doris Edelmayer and Jonna Doris Hansen) [CRD: 1983864, Sarasota, Florida], according to disclosures on FINRA BrokerCheck. It appears that Keller worked for SagePoint Financial Inc. from December 7, 2015 to September 1, 2023, and is currently registered with Osaic […]