ROGER DANIEL FOLLIS (ROGER D FOLLIS) was fined $10,000 and suspended for 45 days by FINRA for allegedly using an unapproved personal email to send business-related messages to a client. This disclosure was dated 12/5/2025. ROGER D FOLLIS is both a broker and investment advisor with A.G.P. / ALLIANCE GLOBAL PARTNERS of Washington D.C. since 2/23/2024.  […]