10.0David P Neuman
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INVESTIGATION of Dee Dee Brooks – Huntington Beach, CA

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10
Jun

INVESTIGATION of Dee Dee Brooks – Huntington Beach, CA

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INVESTIGATION of  Dee Dee Brooks – Huntington Beach, CA

Dee Dee Brooks, previously with Signator Investors, Barred by FINRA

Have you lost money with financial advisor Dee Dee Brooks?  We are looking into allegations made about Dee Dee Brooks from Huntington Beach, California.  FINRA (the Financial Industry Regulatory Authority) barred Brooks from the securities industry.  FINRA was investigating Brooks after she was terminated by Signator Investors for not disclosing potential outside business activities and private securities transactions. 

Brooks has been alleged to have sold investments in Woodbridge Mortgage Investment Fund and Future Income Payments.  Woodbridge filed for bankruptcy, and investors have suffered significant losses in Woodbridge.  Brooks was also alleged to have sold investments in American Alternative Investments, Future Income Payments (FIP), which ceased business in 2018 and caused significant losses to investors.

Dee Dee Brooks was a financial advisor and registered representative of Signator Investors from July 2015 to June 2018.  She worked in branch offices in Huntington Beach, California. 

Brokerage firms like Signator Investors 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; Phoenix, Arizona; 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, including against Signator Investors.

IF YOU LOST MONEY WITH DEE DEE BROOKS OR SIGNATOR INVESTORS, 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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