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

In a recent development, James Davis, a broker associated with Northwestern Mutual Investment Services, LLC (CRD 2881), has been accused of misrepresentation and suitability concerns regarding a variable life insurance policy. The customer dispute, filed on February 13, 2024, was denied by the firm following an internal review. Haselkorn & Thibaut, a national investment fraud