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WARNING! Advisor Dawn Hare SUSPENDED – Hanover, NH

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14
Jul

WARNING! Advisor Dawn Hare SUSPENDED – Hanover, NH

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WARNING!  Advisor Dawn Hare SUSPENDED – Hanover, NH

Dawn Hare, formerly with TIAA-CREF, Suspended Six Months by FINRA

Have you lost money with financial advisor Dawn Hare?  We are looking into allegations made about Dawn M. Hare from Hanover, New Hampshire.  FINRA (the Financial Industry Regulatory Authority) suspended Hare from the securities industry for six months.  FINRA alleged that Hare arranged for an elderly customer to loan $250,000 to Hare’s son’s struggling construction business, a business which Hare also had an interest.  Generally advisors cannot borrow money from customers, except in limited circumstances.

Dawn Hare was a financial advisor and registered representative of TIAA-CREF from 2007 to March 2019.  She worked in a branch office in Hanover, New Hampshire.  She was also terminated by TIAA-CREF for this alleged conduct.

Brokerage firms like TIAA-CREF 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; Ann Arbor, Michigan; and Phoenix, Arizona.  We represent investors in FINRA arbitration proceedings in all 50 states, including New Hampshire. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

IF YOU LOST MONEY WITH DAWN HARE, 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.
10.0David P Neuman

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