FINRA Arbitration Award against Fifth Third Securities, Inc. and Mark Rottler

The law firm of Thomas F. Burke, P.C. has obtained an arbitration award of $100,000 in favor of Claimant Robert Kenneke and against Respondents Fifth Third Securities, Inc. and Mark Rottler, FINRA Dispute Resolution Case No. 13-01838.  Claimant alleged that a private placement and a large concentration in mining stocks, exchange traded funds and unit investment trusts were unsuitable for his investing and that there were misrepresentations and omissions made by Rottler, the broker. The Chicago FINRA arbitration was held on October 27th and 28th, 2014.

The Claimant’s expert was Jeffery Schaff of Ardor Fiduciary Services at Northbrook, Illinois.