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

    Securities and Investment Fraud Attorneys

    Offices in Washington, Oregon, Arizona, Colorado, and Michigan
    We Serve Clients in All 50 States
    (720) 599-3505
  • Licensed in Colorado, Washington, Arizona, Florida, Illinois, & Michigan

    Securities and Investment Fraud Attorneys

    Offices in Washington, Oregon, Arizona, Colorado, and Michigan
    We Serve 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 Arizona, Colorado, Washington, the Portland, Oregon Area and Michigan, and its attorneys represent investors 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 accept cases on a contingent fee basis—this means no recovery, no fees!

From the Blog
Philip Sparacino of First Standard Financial BARRED – Red Bank, NJ

Philip Sparacino, formerly with First Standard Financial Company, Barred from Securities Industry   Have you lost money with financial advisor Philip Joseph Sparacino from ...

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