Lizabeth Gotuaco Ty and Park Avenue Securities

Have you lost money with financial advisor Lizabeth Gotuaco Ty of Houston, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Lizabeth Gotuaco Ty. FINRA barred Gotuaco Ty from the securities industry after she failed to respond to a FINRA investigation.  FINRA was investigating Gotuaco Ty regarding allegations that she sold unregistered securities to a number of her clients, and that a number of complaints were filed against her.

Lizabeth Gotuaco Ty was a financial advisor and registered representative of Park Avenue Securities from 2006 to July 2015.  She worked at a branch office in Houston, Texas.  She currently has three customer complaints filed against her.

Brokerage firms like Park Avenue Securities 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 Texas. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.

Click to view:  Ty FINRA AWC

Click to view:  Ty BrokerCheck 5.12.16

HAVE YOU LOST MONEY WITH LIZABETH GOTUACO TY OR PARK AVENUE SECURITIES?   

             CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION

                Denver Office: (720) 599-3505

                Seattle Office: (206) 795-5798