GERALD BRODSKY of Dinosaur Financial BARRED – New York, NY
Gerald Brodsky, previously with Dinosaur Financial Group, Barred by FINRA
Have you lost money with financial advisor Gerald Brodsky? We are investigating allegations made about Gerald Lee Brodsky from New York, New York. FINRA (the Financial Industry Regulatory Authority) barred Brodsky from the securities industry after Brodsky failed to fully respond to its investigation. FINRA was investigating Brodsky regarding its review of Brodsky’s outside business activities.
According to BrokerCheck, Gerald Brodsky was a financial advisor and registered representative of Dinosaur Financial Group from December 2014 to October 2016. He worked in a branch office in New York, New York. He also was affiliated with the Concorde Group.
Brokerage firms like Dinosaur Financial Group 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 Phoenix, Arizona. We represent investors in FINRA arbitration proceedings in all 50 states, including New York. Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past.
All of our cases are taken on a contingent fee basis, meaning you don’t pay us unless we successfully recover money for you!
Click to view: Brodsky, Gerald FINRA AWC
Click to view: Brodsky, Gerald BrokerCheck 9.3.19
If you lost money with Gerald Brodsky or Dinosaur Financial Group, 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.