10.0David P Neuman
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UPDATE! Investment advisor DALLAS YORK Barred by FINRA

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17
Apr

UPDATE! Investment advisor DALLAS YORK Barred by FINRA

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UPDATE!  Investment advisor DALLAS YORK Barred by FINRA

Dallas York, formerly with Wells Fargo, Barred by FINRA

 

Have you lost money with financial advisor Dallas York of Scottsdale, Arizona?  We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Dallas R. York. FINRA barred York from the securities industry after he failed to respond to a FINRA investigation.  FINRA, which filed its complaint against York in March 2018, was investigating York for allegations that he made unauthorized withdrawals from a customer’s account with the bank he was affiliated with, Wells Fargo.

 

Dallas York was a financial advisor and registered representative of Wells Fargo from April 2015 to October 2017.  He worked at a branch office in Scottsdale, Arizona.  York was also terminated by Wells Fargo for this alleged conduct.

 

Brokerage firms like Wells Fargo 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; Ann Arbor, Michigan; and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Arizona and the Phoenix area.  Attorney Aaron Israels is licensed to practice law in Arizona.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Wells Fargo.

 

Click to view:  York, Dallas FINRA Order

Click to view:  York, Dallas FINRA Complaint

Click to view:  York, Dallas BrokerCheck 3.7.13 (1)

 

If you lost money with Dallas York or Wells Fargo, 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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