WARNING! Impending Investigation: BRANDON RUDOLPH of Las Vegas, NV
Brandon Rudolph, formerly with Chelsea Financial Services, Barred from Securities Industry
Have you lost money with financial advisor Brandon Rudolph of Las Vegas, Nevada? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Brandon Carl Rudolph. FINRA barred Rudolph from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Rudolph regarding allegations that he engaged in private securities without disclosing such to his former brokerage firm, Chelsea Financial Services.
Brandon Rudolph was a financial advisor and registered representative of Chelsea Financial Services from December 2014 to December 2016. He was also affiliated with Wealthforge Securities from January 2017 to September 2017. He worked at a branch office in Las Vegas, Nevada. Rudolph also was affiliated with Savant Advisor Group, Resolute Capital, Mojave Capital, and Equisource Hotel Fund.
Brokerage firms like Chelsea Financial Services 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; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Nevada and the Las Vegas area. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Rudolph, Brandon FINRA AWC
Click to view: Rudolph, Brandon BrokerCheck 5.10.18
If you lost money with Brandon Rudolph, or Chelsea Financial Services, 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.