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WARNING! Impending Investigation: ANDREW L. QUINN and STIFEL NICOLAUS & COMPANY

26
Oct

WARNING! Impending Investigation: ANDREW L. QUINN and STIFEL NICOLAUS & COMPANY

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WARNING!  Impending Investigation:  ANDREW L. QUINN and STIFEL NICOLAUS & COMPANY

Investigation of:  Andrew L. Quinn and Stifel Nicolaus & Company

 

Have you lost money with financial advisor Andrew Quinn of Reno, Nevada?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Andrew Quinn. FINRA barred Quinn from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Quinn regarding allegations that he borrowed money from customers of his brokerage firms, in violation of FINRA rules.

 

Andrew Quinn was a financial advisor and registered representative of Stifel Nicolaus & Company from June 2010 to June 2013.  He was also registered with Wells Fargo Advisors from 1999 to June 2010.  Quinn also filed for bankruptcy in 2012.

 

Brokerage firms like Stifel Nicolaus & Company and Wells Fargo have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Nevada. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Stifel Nicolaus & Company, Morgan Stanley, Smith Barney, Merrill Lynch, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.

 

HAVE YOU LOST MONEY WITH ANDREW L. QUINN or STIFEL NICOLAUS & COMPANY?   

 

                 Contact Israels & Neuman, PLC for a Free Consultation

                Denver Office: (720) 599-3505

                Seattle Office: (206) 795-5798

 

Click to view:  Quinn FINRA AWC

Click to view:  Quinn BrokerCheck 10.24.15

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