WARNING! Investigation of ELTON NORMAN of Fort Worth, TX
Elton Norman, formerly with First Command Financial Planning, Barred from Securities Industry
Have you lost money with financial advisor Elton Norman from Fort Worth, Texas? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Elton Norman. FINRA barred Elton Norman from the securities industry after he failed to respond to an investigation. Norman was being investigated after he was terminated by First Command Financial Planning for allegedly signing a customer’s name on documents.
Elton Norman was a registered representative and financial advisor with First Command Financial Planning from June 2016 to April 2018. He worked out of a branch office in Fort Worth, Texas.
Broker-dealers like First Command Financial Planning have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives. Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations. When broker-dealers 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; Denver, Colorado; Seattle, Washington; Portland, Oregon and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Texas. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Norman, Elton FINRA AWC
Click to view: Norman, Elton BrokerCheck 10.17.19
If you have lost money with Elton Norman and First Command Financial Planning, and want to hear about ALL legal options, CONTACT ISRAELS & NEUMAN at 720-599-3505.
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