WARNING! Investigation of Advisor Brian DiJulio — Bellevue, WA
Brian DiJulio, formerly with NBC Securities, Suspended by FINRA
Have you lost money with financial advisor Brian DiJulio of NBC Securities in Bellevue, Washington? The law firm of Israels & Neuman is looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Brian Gregory DiJulio. FINRA suspended DiJulio from the securities industry for three months and fined him $7,500. FINRA was investigating DiJulio regarding allegations that he engaged in discretionary trading in customer accounts without getting authorization from the customers in 2016.
Brian DiJulio was a financial advisor and registered representative of NBC Securities from July 2015 to November 2018. He was also affiliated with JHS Capital Advisors from April 2012 to July 2015. He worked at a branch office Bellevue, Washington. DiJulio was also allowed to resign by NBC Securities and has also been the subject of eight customer complaints.
Brokerage firms like NBC 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 Seattle, Washington and Denver, Colorado. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout the Seattle area, including Bellevue, Kirkland, Redmond, and others. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: DiJulio, Brian FINRA AWC
Click to view: DiJulio, Brian BrokerCheck 7.24.19
If you lost money with Brian DiJulio or NBC Securities, please CONTACT US at 720-599-3505 for a free evaluation of your case.