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INVESTIGATION: DAIN STOKES of LPL and Fake Taylor Swift Charity

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18
Sep

INVESTIGATION: DAIN STOKES of LPL and Fake Taylor Swift Charity

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INVESTIGATION:  DAIN STOKES of LPL and Fake Taylor Swift Charity

Dain Stokes, formerly with LPL Financial, Barred for Fake Charity Supposedly Tied to Taylor Swift

 

Have you lost money with financial advisor Dain Stokes of Bedford, New Hampshire?  The Law Firm of Israels & Neuman is investigating allegations made against Dain Farrell Stokes, who was recently the subject of a complaint made by the New Hampshire Securities Bureau.  New Hampshire alleged that Stokes raised funds for a purported charity in Africa involving Taylor Swift, but that Stokes just pocketed the funds.

 

Dain Stokes (CRD # 2960801) was a financial advisor and registered representative of LPL Financial from 2009 to August 2019.  He worked at branch offices in Bedford, New Hampshire.  Stokes has also been the subject of three customer complaints.

 

Brokerage firms like LPL Financial have a responsibility to adequately supervise all representatives who are registered through their firm.  They must 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 Phoenix, Arizona; Ann Arbor, Michigan; Denver, Colorado; Portland, Oregon and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New Hampshire. Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past, including LPL Financial.

 

Click to view:  Stokes, Dain New Hampshire Complaint

Click to view:  Stokes, Dain BrokerCheck 10.14.19

 

If you lost money with Dain Stokes or LPL Financial, please CONTACT US at 720-599-3505 or 206-795-5798 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.
10.0David P Neuman

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