Securities Lawyers Blog
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.