Financial Advisor Fraud

Michael Young of Aurora Securities Faces Serious Misconduct Allegations

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, […]

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Cetera Advisor Brent Schmidt Suspended!

We want to share important news about Brent Schmidt, a financial advisor from Delano, Minnesota. Schmidt worked with Cetera Advisor Networks under Harvest Financial Services until recent events changed his career path. FINRA, the financial industry watchdog, suspended Schmidt for allowing his business partner to fake customer signatures on 53 account documents. This serious violation

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Alexander Capital Advisor Roger Roemmich Under Investigation Over Customer Dispute

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

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