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ALERT! Sampson Pearson SUSPENDED from Securities Industry

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01
Sep

ALERT! Sampson Pearson SUSPENDED from Securities Industry

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ALERT!  Sampson Pearson SUSPENDED from Securities Industry

Sampson Pearson Jr., formerly of Northwestern Mutual, Suspended from Securities Industry

 

Have you lost money with financial advisor Sampson Pearson, Jr. of Milwaukee, Wisconsin?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Sampson Pearson. FINRA suspended Pearson from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Pearson after he was named in eight customer complaints, regarding allegations that he forged customers’ signatures and took loans out of insurance policies.

 

Sampson Pearson was a financial advisor and registered representative of Northwestern Mutual from 2001 to March 2017.   He worked at a branch office in Milwaukee, Wisconsin.

 

Brokerage firms like Northwestern Mutual 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 Ann Arbor, Michigan; Denver, Colorado; and the Seattle, Washington area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Wisconsin.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

 

Click to view:  Pearson, Sampson BrokerCheck 9.19.17

 

If you lost money with Sampson Pearson or Northwestern Mutual, please CONTACT US at 720-599-3505 for a free evaluation of your case.

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.

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