Articles Tagged with Aurora Securities

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Bowlin (Bowlin), currently associated with Aurora Securities, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bowlin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000,000.00 on November 24, 2025.

Claimant alleges unsuitable investment recommendation in a real estate securities investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Bowlin (Bowlin), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Bowlin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $475,000.00 on October 30, 2025.

Claimant alleges unsuitable investment recommendation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Taylor Armstrong (Armstrong), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Armstrong recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000,000.00 on September 15, 2025.

Claimant alleges mismanagement of their account(s).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Austin Bowlin (Bowlin), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Bowlin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000,000.00 on October 06, 2025.

Claimant alleges that investments recommended were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Bowlin (Bowlin), currently associated with Aurora Securities, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bowlin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000,000.00 on October 06, 2025.

Claimant alleges that investments recommended were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clark Harris (Harris), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Harris recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $143,366.00 on June 10, 2022.

Per Sigma Financial Corporation, the client filed a demand letter alleging that between 2010 – 2015, the representative made unsuitable recommendations and encouraged the customer to invest in a non-traded direct participation program (DPP) and a REIT. The claim further alleges the representative did not have the required securities registration to make the recommendation and that the firm failed to adequately supervise the representative.

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Previously financial advisor Robert Lorente (Lorente), previously employed by brokerage firm Aurora Securities has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on October 20, 2023.

Alleged lack of suitability on three (3) REITs purchased in 2019 (February through April). Various claims alleging negligence, misrepresentation/omission, common law fraud, breach of contract and fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Rottman (Rottman), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Rottman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $130,000.00 on February 12, 2024.

Client alleges negligence, gross negligence, breach of fiduciary duty, breach of contract, fraud, negligent misrepresentations, negligent supervision, and violations of State, SEC, and FINRA rules including, but not limited to: violations of 10-04-15 of the North Dakota Securities Act of 1951, Section 206(4) of and Rule 206(4)-7 under the Investment Advisers Act of 1940, FINRA Rule 2010, Standards of Commercial Honor and Principals of Trade: FINRA Rule 2111, Suitability; FINRA Rule 3010, Supervision; and FINRA Rule 2020, Use of Manipulative, Deceptive or Other Fraudulent Devices.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Young (Young), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Young recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $130,000.00 on February 15, 2024.

Client alleges negligence, gross negligence, breach of fiduciary duty, breach of contract, fraud, negligent misrepresentations, negligent supervision, and violations of State, SEC, and FINRA rules including, but not limited to: violations of 10-04-15 of the North Dakota Securities Act of 1951, Section 206(4) of and Rule 206(4)-7 under the Investment Advisers Act of 1940, FINRA Rule 2010, Standards of Commercial Honor and Principals of Trade: FINRA Rule 2111, Suitability; FINRA Rule 3010, Supervision; and FINRA Rule 2020, Use of Manipulative, Deceptive or Other Fraudulent Devices.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Schmitz (Schmitz), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Schmitz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $130,000.00 on February 12, 2024.

Client alleges negligence, gross negligence, breach of fiduciary duty, breach of contract, fraud, negligent misrepresentations, negligent supervision, and violations of State, SEC, and FINRA rules including, but not limited to: violations of 10-04-15 of the North Dakota Securities Act of 1951, Section 206(4) of and Rule 206(4)-7 under the Investment Advisers Act of 1940, FINRA Rule 2010, Standards of Commercial Honor and Principals of Trade: FINRA Rule 2111, Suitability; FINRA Rule 3010, Supervision; and FINRA Rule 2020, Use of Manipulative, Deceptive or Other Fraudulent Devices.

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