ERIC DEAN ROLSHOVEN is currently employed as a Broker and/or Investment Adviser at AMERICAN INDEPENDENT SECURITIES GROUP, LLC located at 419 Tie Chute Lane, Florence, MT, 59833.
ERIC DEAN ROLSHOVEN has worked at AMERICAN INDEPENDENT SECURITIES GROUP, LLC since August 03, 2017
Disclosure History
ERIC DEAN ROLSHOVEN has 3 Disclosure Event(s).
Date: January 21, 2016 Category: Customer Dispute Allegations: Allegations involve my supervision of a rep placing monies into REITS and BDC's, claiming unsuitability. The Broker Dealer settled this. Damage Amount Requested: $350,000.00 Settlement Amount: $10,000.00 Broker Comment: I was the manager of a rep that sold these clients REITS and BDC's after the 2008 downturn. Their accounts were up over six figures. Their investments only became unsuitable after they transferred to a new rep and he couldn't sell everything.
Date: August 04, 2015 Category: Regulatory Initiated By: Commissioner of Securities & Insurance Montana State Auditor Allegations: Allegations involve my supervision of a rep caught selling an unapproved Reg D Private Placement. He lied to me verbally and in writing. Resolution: Consent SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $15,000.00 Broker Comment: On of my reps was selling an unapproved Reg D Private Placement. He lied to me verbally and in writing. There is no admission of fault. I settled this to be done with it and move on in my career. No further action taken.
Date: May 08, 2015 Category: Employment Separation After Allegations Firm Name: FSC Securities Termination Type: Discharged Allegations: One of my reps was caught selling an unapproved Reg D Private Placement Broker Comment: the rep lied to me verbally and in writing concerning this security. He carefully concealed his own purchases and any paperwork concerning FSC clients.
More Information
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
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