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WARNING! Impending Investigation – CHARLES STIVERS of Aurora, CO

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19
Jul

WARNING! Impending Investigation – CHARLES STIVERS of Aurora, CO

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WARNING!  Impending Investigation – CHARLES STIVERS of Aurora, CO

Charles Stivers Subject of Colorado Securities Division Complaint

 

Have you lost money with financial advisor Charles Stivers from Aurora, Colorado?  We are investigating allegations made by the Colorado Division of Securities made against Charles G. Stivers. In a June 2018 order, Colorado alleged that Charles Stivers sold investments in AIM Holdings and Garden Financial LLC without permission from his brokerage firm, Innovation Partners.

 

AIM Holdings was purported to invest in marijuana related investments.  Garden Financial LLC was owned and operated by Charles Stivers.  Both investments were not registered.

 

Charles Stivers was a registered representative and financial advisor with Innovation Partners from March 2013 to January 2016.  He worked out of a branch office in Aurora, Colorado.  Stivers also owned Garden Financial LLC.

 

Broker-dealers like Innovation Partners 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 are investment fraud and securities arbitration attorneys with offices in Denver, Colorado and Seattle, Washington.  Our firm has represented numerous investors in the Denver area, and we have also previously represented numerous investors in Colorado, including numerous investors in the greater Denver area.  Attorney Aaron Israels is licensed to practice law in Colorado.

 

Click to view:  Stivers, Charles Colorado Order

Click to view:  Stivers, Charles BrokerCheck 8.16.18

 

If you have lost money with Charles Stivers, AIM Holdings, or Garden Financial, please visit https://www.israelsneuman.com/ or CONTACT US at 720-599-3505.

 

 

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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