(720) 599-3505
  • Licensed in Colorado, Washington, Florida, Illinois & Michigan

    Securities and Investment Fraud Attorneys

    Offices in Portland, Seattle, Denver, and Ann Arbor
    Serving Clients in All 50 States
    (720) 599-3505
  • Licensed in Colorado, Washington, Florida, Illinois, & Michigan

    Securities and Investment Fraud Attorneys

    Offices in Portland, Seattle, Denver, and Ann Arbor
    Serving Clients in All 50 States
    (720) 599-3505
The attorneys at Israels & Neuman, PLC, have recovered millions of dollars for victims of securities and investment fraud. Israels & Neuman, PLC has offices in Colorado, Washington, the Portland, Oregon Area and Michigan, but its attorneys represent investors in FINRA arbitration proceedings in all 50 States.

Broker-dealers have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives.  Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  It is unlawful for an advisor to make trades in a customer’s account without their prior authorization, unless the advisor has a written agreement to do so with the customer.

 

When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.  Our firm represents investors throughout the U.S.  in all 50 states.

 

If you feel you have lost money due to your advisor or broker-dealer, call our office today to discuss your legal options.  Our consultations are always free, and we take cases on a contingent fee basis—this means you don’t pay us until we resolve your case.

From the Blog
INVESTOR ALERT! Investigation of ALEX ANDERSON and CETERA FINANCIAL

Cetera Financial Specialists Settles with FINRA Regarding  Failure to Supervise Alex P. Anderson   We are currently investigating allegations made against Cetera Financial Specialists, ...

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