Investor Alert > Bart James Bohrer, Nicole Justina Bertsch, Donald Paul Waage, Chad Andrew Thuner, Cheryl Lynn Romann, and John Richard Carlson– Alleged Violations of Federal Securities Laws, Violations of the Minnesota Securities Act

Posted Apr 23, 2019

by Alan Rosca

Bart James Bohrer, Nicole Justina Bertsch, Donald Paul Waage, Chad Andrew Thuner, Cheryl Lynn Romann, and John Richard Carlson– Alleged Violations of Federal Securities Laws, Violations of the Minnesota Securities Act

Bart Bohrer, Nicole Bertsch, Donald Waage, Chad Thuner, Cheryl Romann, and John Carlson Allegedly Engaged in Federal Securities Law Violations

Bart Bohrer, Nicole Bertsch, Donald Waage, Chad Thuner, Cheryl Romann, and John Carlson allegedly engaged in Federal Securities Law Violations, Violations of Minnesota Securities Act, & Violation of FINRA Rules, according to a Pending Customer Dispute filed on the aforementioned Brokers’ FINRA BrokerCheck Reports under review by investor rights attorney Alan Rosca.

The aforementioned dispute was filed on March 4, 2019, FINRA states, and is requesting damages of $445,000.

Investor rights attorney Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to Bart Bohrer, Nicole Bertsch, Donald Waage, Chad Thuner, Cheryl Romann, and John Carlson‘s alleged engagement in Federal Securities Law Violations and Violations of the Minnesota Securities Act. Investors who believe they may have lost money in activity related to Bart Bohrer, Nicole Bertsch, Donald Waage, Chad Thuner, Cheryl Romann, and John Carlson’s alleged engagement in Federal Securities Law Violations and Violations of the Minnesota Securities Act are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Invested with Bart Bohrer, Nicole Bertsch, Donald Waage, Chad Thuner, Cheryl Romann, or John Carlson?

Bart Bohrer, Nicole Bertsch, Donald Waage, Chad Thuner, & Cheryl Romann All Still Registered with Capital Financial in Minot, North Dakota

Bart Bohrer, Nicole Bertsch, Donald Waage, Chad Thuner, and Cheryl Romann, are all still registered with Capital Financial Services, Inc. in Minot, North Dakota, FINRA states.

John Carlson, meanwhile, was registered with Capital Financial Services, Inc. in Minot, North Dakota from July 25, 2002 until June 22, 2017, FINRA states.

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.

Invested with Bart Bohrer, Nicole Bertsch, Donald Waage, Chad Thuner, Cheryl Romann, or John Carlson?

Securities Lawyer Investigating

The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Bart Bohrer, Nicole Bertsch, Donald Waage, Chad Thuner, Cheryl Romann, and John Carlson‘s alleged engagement in Federal Securities Law Violations and Violations of the Minnesota Securities Act. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Bart Bohrer, Nicole Bertsch, Donald Waage, Chad Thuner, Cheryl Romann, and John Carlson‘s alleged engagement in Federal Securities Law Violations and Violations of the Minnesota Securities Act may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

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