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INVESTIGATION of DAVID HALL / State Farm VP Mgmt. – Bakersfield, CA

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16
Mar

INVESTIGATION of DAVID HALL / State Farm VP Mgmt. – Bakersfield, CA

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INVESTIGATION of DAVID HALL / State Farm VP Mgmt. – Bakersfield, CA

David Hall, previously with State Farm VP Management Corp., Barred by FINRA

Have you lost money with financial advisor David Hall?  We are looking into allegations made about David Lance Hall from Bakersfield, California.  FINRA (the Financial Industry Regulatory Authority) barred Hall from the securities industry after he failed to respond to an investigation.  FINRA was investigating him regarding allegations that he excessively traded or churned customer accounts.

David Hall was a financial advisor and registered representative of State Farm VP Management Corp. from 2008 to April 2019.  He worked in a branch office in Bakersfield, California.  Hall has been the subject of a 2017 bankruptcy and four tax liens.  He also operated David Hall Insurance Agency.

Brokerage firms like State Farm VP Management Corp. 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 Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including California. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

If you lost money with David Hall or State Farm VP Management Corp., 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.
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