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WARNING! Impending Investigation – BRIAN ROYSTER

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22
Nov

WARNING! Impending Investigation – BRIAN ROYSTER

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WARNING!  Impending Investigation – BRIAN ROYSTER

Brian Royster from Ann Arbor, Michigan Barred From Securities Industry

 

Have you lost money with financial advisor Brian Royster of Ann Arbor, Michigan?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Brian Lamont Royster. FINRA barred Brian Royster from the securities industry after he failed to respond to an investigation.  FINRA was investigating Royster regarding allegations that he borrowed money from a customer of his former brokerage firm, HD Vest Investment Services.  It is generally a violation of securities industry rules and internal policies of many brokerage firms, like HD Vest Investment Services, to borrow money from customers.

 

Brian Royster was a financial advisor and registered representative of HD Vest Investment Services from January 2014 to January 2017.  He worked at a branch office in Ann Arbor, Michigan.  Royster has been the subject of two customer complaints, both of which settled.  Royster was also fired by HD Vest for taking loans from customers.

 

Brokerage firms like HD Vest Investment 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 Ann Arbor, Michigan; Denver, Colorado; and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Michigan.  Attorney Aaron Israels is licensed to practice law in Michigan, he grew up in Holland, Michigan and also lived for many years in Ann Arbor and also the Detroit area.  We have also represented a number of victims who had their money stolen by Michigan brokers, including Christopher Tolmacs.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including HD Vest Investment Services.

 

Click to view:  Royster, Brian FINRA AWC

Click to view:  Royster, Brian BrokerCheck 11.22.17

 

If you lost money with Brian Royster or HD Vest Investment 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.

 

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.
10.0David P Neuman

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