INVESTOR WARNING! Emily Thompson from Wauseon, Ohio
Have you lost money with financial advisor Emily Thompson of Wauseon, Ohio? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Emily M. Thompson. FINRA barred Thompson from the securities industry after she failed to respond to a FINRA investigation. FINRA was investigating Emily Thompson regarding allegations that he may have engaged in unauthorized trading in misrepresentation. FINRA began its investigation after she was terminated by her brokerage firm, Raymond James Financial Services.
Emily Thompson was a financial advisor and registered representative of Raymond James Financial Services from December 2012 to February 2015. She worked at a branch office in Wauseon, Ohio. Her BrokerCheck report also discloses that she worked with Farmers and Merchants Bank, and that she was one customer complaint on her record.
Brokerage firms like Raymond James Financial Services 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 Ann Arbor, Michigan; Chicago; Denver, Colorado; and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Ohio, including investors from the Cleveland area who lost money in a limited partnership and investors from the Columbus area who lost money in a start-up medical company. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Raymond James Financial Services.
Click to view: Thompson, Emily FINRA AWC
Click to view: Thompson, Emily BrokerCheck 11.18.16
HAVE YOU LOST MONEY WITH EMILY THOMPSON OR RAYMOND JAMES FINANCIAL SERVICES?
CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION
Aaron Israels: (720) 599-3505
David Neuman: (206) 795-5798
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.