Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 9, 2017 indicate that Idaho-based American Independent Securities Group broker Eric Rolshoven has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rolshoven (CRD# 1601679).
Eric Rolshoven has spent 28 years in the securities industry and has been registered with American Independent Securities Group in Eagle, Idaho since August 2017. Previous registrations include SII Investments in Florence, Montana; FSC Securities Corporation in Missoula, Montana; and American Express Financial Advisors in Minneapolis, Minnesota. He is currently not registered with any US state.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint and one regulatory sanction.
In 2017 the Montana Commissioner of Securities & Insurance sanctioned him following “Allegations involve my supervision of a rep caught selling an unapproved Reg D Private Placement.”
In 2016 a customer alleged Eric Rolshoven, while employed at FSC Securities, failed to supervise a representative who placed monies into unsuitable investments. The complaint settled for $10,000.
In 2015 a customer alleged Eric Rolshoven, while employed at FSC Securities, failed to supervise a representative’s sale of an unapproved Reg D Private Placement. The customer is seeking $2,000,000 in damages in the ending complaint.
In 2015 he was terminated from his position at FSC Securities following allegations that “one of [his] reps was caught selling an unapproved Reg D Private Placement.”
If you have lost money investing with Eric Rolshoven, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.