In a recent development, a customer has filed a complaint against Monica Osborne, a representative of Avantax Investment Services, Inc. (CRD 13686), alleging that Osborne recommended an unsuitable investment in Direct Investment DPP & LP Interests. The complaint, which was filed on February 15, 2024, is currently pending resolution. According to the disclosure details, the […]

Michael Young, a financial advisor associated with Aurora Securities (CRD 46147) and Classic, LLC (CRD 159357) in North Dakota, is facing serious allegations of misconduct from a client. The customer dispute, filed on February 15, 2024, and currently pending resolution, claims that Young engaged in negligence, gross negligence, breach of fiduciary duty, breach of contract,

In a recent development, Roger Roemmich, a broker and investment advisor associated with Alexander Capital, L.P. (CRD 40077) in Georgia, has been named in a pending customer dispute filed on February 15, 2024. The allegations revolve around the suitability of direct investment products, specifically DPP & LP Interests, recommended by Roemmich to his clients. The