Rothschild Investment Lawsuit
$28,000 settlement reached in securities lawsuit.
Rothschild Investment $28,000 settlement reached in securities lawsuit.
Helena, MT: (May-27-08) State Auditor John Morrison brought a lawsuit against Rothschild Investment, a Chicago-based broker-dealer firm, alleging that it sold securities without being registered in Montana. Morrison's suit claimed that Rothschild Investment sold the securities to 11 investors in the Missoula and Kalispell area over the past two years.As part of a settlement agreement reached between the two sides, sources stated that the suit was resolved with Rothschild Investment agreeing to return nearly $23,000 in commissions to the 11 Montana investors, pay a $2,500 fine to the state and another $2,500 to the Investor Protection Trust for the benefit of Montana investors. Following the settlement, John Morrison stated that Rothschild Investment Corp. and its brokers are now properly licensed to do business in the state.
Rothschild Investment in the News
[MONTANA NEWS STATION: Rothschild Investment]Search for: Chicago-based firm to return commissions to investors
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