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Craig Rottman is Facing Allegations of Misrepresentation

Craig Rottman (CRD #: 4647293), a broker registered with Aurora Securities, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on March 12, 2024. Keep reading if you have any questions regarding his conduct. 

Investor Allegations 

On February 12, 2023, an investor alleged that Craig Rottman engaged in negligence and negligent misrepresentations. The investors are seeking $130,000. 

Misrepresentation 

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

Negligence

Many types of broker misconduct may qualify as negligence. Typical examples include unsuitable investment recommendations, misrepresentations or omissions of material fact, and failure to follow instructions.

Background Information 

Craig Rottman has passed the following exams:

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination
  • Series 24 General Securities Principal Examination 

He is registered as a broker in seven states and is registered as an investment adviser in Colorado, North Dakota, and Texas. 

During his 20 years of experience, he has registered with eight firms:

  • Aurora Securities (CRD #: 46147) 
  • Classic (CRD #: 159357) 
  • Secure Asset Management (CRD #: 144046) 
  • Classic Asset Management (CRD #: 122030) 
  • Northstar Financial Partners (CRD #: 1077080 
  • Fintegra (CRD #: 16741) 
  • Questar Asset Management (CRD #: 133358) 
  • Questar Capital Corporation (CRD #: 43100) 

Kurta Law Can Help 

If you have worked with Craig Rottman and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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