10.0David P Neuman
(720) 599-3505

Warning: CANDICE MONTIE of Moloney Securities SUSPENDED

SEARCH OUR BLOGS
02
Apr

Warning: CANDICE MONTIE of Moloney Securities SUSPENDED

Posted by admin | 0 Comment
Warning: CANDICE MONTIE of Moloney Securities SUSPENDED

FENTON, MICHIGAN

Have you lost money with financial advisor Candice Montie from Fenton, Michigan?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Candice Montie.  Montie was being investigated regarding allegations that she sold investments in GWG Holdings without permission from her brokerage firm, Moloney Securities.  Specifically, Montie had sold “L Bonds” of GWG Holdings.  To settle these allegations Montie agreed to a three month suspension and a $5,000 fine.

Candice Montie was a registered representative and financial advisor with November 2013 to the present.  She worked out of branch offices in Fenton, Michigan.  

Broker-dealers like Moloney Securities 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.  When broker-dealers 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; Seattle, Washington; and Phoenix, Arizona.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Michigan.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

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

FREE CASE EVALUATION

DENVER: (720) 599-3505

SEATTLE: (206) 795-5798


Copyright © 2021 Israels Neuman, PLC. All Rights Reserved | Sitemap

Marketing Webmasters | Developed By TRIGUNS