Haselkorn & Thibaut (“InvestmentFraudLawyers.com”), a nationally-recognized securities fraud law firm with over 50 years of experience and a 98% success rate, has opened an independent investigation into Jeffrey Lynn Bangerter (CRD #1687028) of Roseville, California, a registered representative of Concorde Investment Services, LLC. This report is designed to give investors and their families clear, actionable information about the advisor’s regulatory history, complaint record, and potential red flags, so you can make informed decisions. If you have suffered losses or have concerns, you’re invited to take advantage of a free, confidential case review—no recovery, no fee—by calling Haselkorn & Thibaut at 1-888-994-8066.
Who is Jeffrey Lynn Bangerter of Concorde Investment Services, LLC?
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Jeffrey Lynn Bangerter is registered with Concorde Investment Services, LLC in Roseville, CA. He operates under the business names Bangerter Financial Strategies and Coordinated Concepts Insurance Services. His professional experience spans several decades, with previous affiliations at Berthel Fisher & Co., DFPG Investments, and G.F. Investment Services. His FINRA CRD number is 1687028.
Current Status of Regulatory Investigations and Complaints
For any investor, it’s critical to review a financial advisor’s disciplinary record and dispute history. As of the most recent updates, Jeffrey Bangerter has faced both customer complaints and regulatory actions. Below you’ll find details of each matter, along with an explanation of what these allegations could mean for investors like you.
| Type | Date | Details/Allegations | Status/Outcome |
|---|---|---|---|
| Pending Customer Dispute | April 2025 | Alleged unsuitable recommendations of Direct Investments and Limited Partnerships, resulting in claimed losses of $300,000. | Pending |
| Customer Complaint/FINRA Arbitration | 2024 – January 2025 | Unsuitability and breach of fiduciary duty regarding investments in Direct Participation Programs (DPPs) & Limited Partnerships (LPs).
Claimed Damages: $85,000 |
Settled for $85,000. Mr. Bangerter contributed $42,500 personally. |
| Regulatory Sanction (NASD/FINRA) | 2001 | Purchased shares of an IPO (“Web Street–WEBS”) at the public offering price, which violated NASD rules. | Fined $4,450 (including $3,450 in disgorgement of profits). |
| Regulatory Sanction (Utah Insurance Dept.) | 2007 | Did not disclose the NASD action when applying for insurance licenses in Utah. | Fined $250. |
Specific Allegations and Areas of Concern
- Unsuitable Investment Recommendations: Alleged failure to recommend investments appropriate for the client’s needs, especially into higher-risk and illiquid products like DPPs and LPs. This is regulated under FINRA Rule 2111.
- Breach of Fiduciary Duty: Claims that the advisor did not act in clients’ best interest when recommending and managing high-risk alternatives.
- Regulatory Violations: Past disciplinary actions by securities and insurance regulators, including FINRA/NASD and the Utah Insurance Department.
What Are Alternative Investments—And Why Are They a Concern?
Alternative investments are assets not typically traded on public markets, such as hedge funds, private capital, oil and gas investments, non-traded real estate investment trusts (REITs), and infrastructure products. These vehicles can be complex, illiquid, and carry higher fees and risk than traditional stocks and bonds. Many investor complaints listed above concern such alternative investments and their potential for outsized losses if not properly managed or disclosed.
Should Investors in Roseville, CA or Nationwide Be Concerned?
If you invested with Jeffrey Lynn Bangerter through Concorde Investment Services, LLC—especially in alternative investments, limited partnerships, or direct participation programs—it is prudent to review your account for red flags or suspicious activity. Even a single settlement or arbitration should give investors pause; the ongoing disputes, combined with historical regulatory sanctions, warrant a proactive review.
How Can Haselkorn & Thibaut Help?
- Free, confidential consultations.
- Experience with thousands of (FINRA) arbitration claims and settlements nationwide.
- “No recovery, no fee” policy: You pay nothing unless and until compensation is recovered for you.
- Unmatched track record—98% success rate and millions recovered for clients like you.
We recognize how stressful it is to question your financial advisor or broker-dealer. The process is completely confidential, risk-free, and designed to get you straight answers.
Next Steps for Concerned Investors
If you have worked with Jeffrey Lynn Bangerter (Roseville, CA/Concorde Investment Services, LLC, CRD #1687028) or invested in high-commission, illiquid, or alternative investments, you may have grounds to recover significant losses. Even if your losses have not yet been realized—or if you are uncertain whether your portfolio was properly managed—a conversation with a securities attorney can truly make the difference.
Call Haselkorn & Thibaut today at 1-888-994-8066 for your no-obligation consultation. There’s nothing to lose—except another day of uncertainty.
Summary Table: Advisor Red Flags and Complaint History
| Complaint/Sanction | Date | Key Details | Status |
|---|---|---|---|
| Pending Arbitration – Customer Dispute | 2025 | Claim for $300,000 in damages due to unsuitable Alternative Investments/LPs | Open |
| Settled Arbitration – Customer Complaint | 2025 | Claim for $85,000—alleged unsuitability, breach of fiduciary duty re: DPPs/LPs | Settled for $85,000 ($42,500 personally by advisor) |
| NASD/FINRA Regulatory Sanction | 2001 | Purchased restricted IPO shares in violation of rules | Fined and disgorged profits |
| Insurance Regulator—Utah | 2007 | Failure to disclose prior NASD action | Fined |
Don’t wait until a small concern becomes a big loss. Haselkorn & Thibaut is here to help you evaluate your case, clarify your options, and answer your questions with empathy and expertise. Call 1-888-994-8066 for your free consultation, or visit investmentfraudlawyers
