Curtis Mason, a broker and investment advisor associated with GWN Securities Inc., is facing allegations of unsuitable investment recommendations and refusal to allow a client to sell an investment, resulting in the client losing approximately half of their invested funds. According to the client’s complaint filed with FINRA on February 12, 2024, Mason allegedly recommended […]

Douglas Schmitz, a financial advisor associated with Aurora Securities (CRD 46147) and Classic, LLC (CRD 159357) in North Dakota, is currently facing serious allegations of misconduct. According to a pending customer dispute filed on February 12, 2024, a client has accused Schmitz of negligence, gross negligence, breach of fiduciary duty, breach of contract, fraud, negligent

Craig Rottman, a broker and investment advisor associated with Aurora Securities (CRD 46147) and Classic, LLC (CRD 159357), is facing serious allegations of misconduct from a client in North Dakota. The client has filed a pending customer dispute, alleging negligence, gross negligence, breach of fiduciary duty, breach of contract, fraud, negligent misrepresentations, negligent supervision, and

David Janny, a broker and investment advisor with Ameriprise Financial Services, LLC, is currently under investigation by Haselkorn & Thibaut, a national investment fraud law firm, following allegations of unauthorized options trading in a client’s account. The customer dispute, filed on February 12, 2024, and currently pending resolution, has raised concerns about potential financial advisor