10.0David P Neuman
(720) 599-3505

WARNING! Investigation of JEFFERY WALDERA

SEARCH OUR BLOGS
30
Oct

WARNING! Investigation of JEFFERY WALDERA

Posted by admin | 0 Comment
WARNING!  Investigation of JEFFERY WALDERA

Jeffery Waldera, from Onalaska, Wisconsin, Suspended for Five Months by FINRA

 

Have you lost money with financial advisor Jeffery Waldera of Onalaska, Wisconsin?  We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Jeffery J. Waldera. FINRA brought a regulatory complaint against Waldera.  FINRA was investigating Waldera regarding allegations that he borrowed $52,500 from three customers, in violation of FINRA rules and, likely, the internal policies of his brokerage firm, Robert W. Baird & Co.  He failed to fully repay the loans.

 

FINRA entered into an agreement with Jeffery Waldera, in which Waldera agreed to pay a $7,500 fine.  Moreover, Waldera was suspended from the securities industry for five months.  However, brokers who are ordered to pay fines often do not pay them.

 

Jeffery Waldera was a financial advisor and registered representative of Robert W. Baird & Co. from 1999 to August 2016.  He worked at a branch office in Onalaska, Wisconsin.  Waldera also has one customer complaint on his BrokerCheck report.  He also was terminated by Robert W. Baird & Co. for this conduct.

 

Brokerage firms like Robert W. Baird & Co. 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; Ann Arbor, Michigan; and the Seattle area.  We represent investors in FINRA arbitration in all 50 states, including investors throughout Wisconsin.   We have previously represented over one thousand investors against numerous brokerage firms in the past, including Robert W. Baird & Co.

 

Click to view:  Waldera, Jeffery BrokerCheck 10.30.17

Click to view:  Waldera, Jeffrey FINRA AWC

 

If you lost money with Jeffery Waldera or Robert W. Baird & Co., please CONTACT US at 206-795-5798 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.

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

FREE CASE EVALUATION

DENVER: (720) 599-3505

SEATTLE: (206) 795-5798


Copyright © 2020 Israels Neuman, PLC. All Rights Reserved | Sitemap