Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Gallagher (Gallagher), previously associated with Morgan Stanley, has at least one disclosable event. These events include one tax lien, alleging that Gallagher recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on February 19, 2025.
Without admitting or denying the findings, Gallagher consented to the sanction and to the entry of findings that he refused to provide documents and information and to appear for on-the-record testimony requested by FINRA in connection with an investigation concerning, among other things, the allegations in a criminal indictment filed against him.
