The attorneys at Israels & Neuman have talked with former clients of Roger Bowlin who feel they may have lost money, and there may be options for recovery.

REITs are investments in pools of real estate, which attempt to diversify the investors’ holdings.  While investors can buy publicly traded REITs, which are generally available to be bought and sold on a stock exchange, he recommended the purchase of non-traded REITs.  The non-traded REITs often have high fees, commissions, and expenses, sometimes totaling between 15% and 20% of the investors’ funds.  This makes it difficult for the REIT to remain profitable over the long-term, and in some instances, the REIT can lose a lot of money.

Bowlin is also believed to have sold other non-traded investments like BREX Parker, Blue Owl Real Estate Exchange, CX Heritage, and Vintage DST.

Roger Bowlin’s Background

Roger Bowlin was licensed with Concorde Investment Services from May 2016 to April 2021 in a Mercer Island, Washington office.  He has been with Aurora Securities from April 2021 to the present in a Kirkland, Washington office, and was also previously registered with Independent Financial Group in Issaquah. 

Can Concorde Investment Services be Liable?

FINRA provides numerous rules and regulations governing the securities brokerage industry.  A brokerage firm must sufficiently monitor the conduct of its financial advisors like Roger Bowlin.  The firm can be responsible for investor losses if it failed to adequately supervise the broker’s conduct.  We regularly represent investors in FINRA arbitration who have been wronged by their financial advisors and stockbrokers.

How Israels & Neuman Can Help You Recover Money

Our firm has recovered millions of dollars for wronged investors across the country. We have brought claims against a wide range of brokerage firms.

We offer free case evaluations, and if we take your case, we do so on a contingency fee basis—which means there are no attorney fees unless we recover money for you.

See Roger Bowlin’s BrokerCheck here

Contact Us for a Free Consultation

If you lost money investing with Roger Bowlin or Concorde Investment Services, you may be entitled to compensation. Attorney Dave Neuman is licensed in Washington and we have offices in Seattle. Contact Israels & Neuman, PLC today for a confidential and no-obligation review of your situation.

Call us at (206) 795-5798 or (720) 599-3505

KIRKLAND, WASHINGTON Were you a client of financial advisor William Carlton from Kirkland, Washington? Our securities arbitration law firm is looking into allegations made against William Carlton also known as Bill D. Carlton. In December 2023, he was fired by Cetera Advisors. Cetera Advisors had previously acquired First Allied Securities, and Carlton had been affiliated with First Allied from 2008 to September 2022.

Cetera Advisors terminated William Carlton regarding allegations that he engaged in “inappropriate trading practices”, according to FINRA BrokerCheck. Moreover, in September 2024, he was the subject of a complaint made by the Securities and Exchange Commission (SEC). The SEC alleged that he engaged in “cherry picking”, in which he allocated profitable trades to his own account while putting losing trades in the accounts of his customer. The SEC complaint alleged that this scheme caused him to profit $5.3 million from trades while costing his clients $6.4 million in losing trades.

Bill D. Carlton had been with Cetera Advisors from September 2022 to December 2023 and with First Allied Securities from 2008 to September 2022. He worked in Kirkland and Bellevue, Washington branch offices.

Brokerage firms must have written supervisory and compliance procedures, under securities rules and regulations, to monitor their advisors’ conduct. If they fail to reasonably supervise their advisors, they may be liable for customer losses.

Attorney David Neuman is licensed to practice law in Washington and has an office in Seattle. Our firm has represented numerous investors throughout Washington and have sued dozens of brokerage firms in the past.

View BrokerCheck report here. View SEC Complaint here.

If you lost money with William Carlton or Cetera Advisors, please Contact Us at 206-795-5798 for a free evaluation of your case.