Financial Advisor Fraud

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

Craig Fredrickson, a broker and investment advisor with Berthel, Fisher & Company Financial Services, Inc., is currently facing allegations of unsuitable investments and misrepresentation. The claimant, who purchased investments in 2015, alleges that Fredrickson and the firm breached their fiduciary duties and that the firm failed to supervise the representative adequately. The Allegations Against Craig

In a recent development, Austin Dutton, a former broker and investment advisor at American Trust Investment Services, Inc. (CRD 3001) in Pennsylvania, is facing allegations of breach of contract, breach of fiduciary duty, negligent supervision, and violation of the best interest obligations (Reg BI). The customer dispute, filed on February 13, 2024, is currently pending