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INVESTOR ALERT: Stephen Carver of Peoria, IL is BARRED

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03
Jan

INVESTOR ALERT: Stephen Carver of Peoria, IL is BARRED

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INVESTOR ALERT:  Stephen Carver of Peoria, IL is BARRED

Stephen Carver, formerly with Cetera Advisors, Barred from Securities Industry

 

Have you lost money with financial advisor Stephen Carver of Peoria, Illinois?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Stephen C. Carver.  FINRA barred Steve Carver from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Carver related to allegations made in a customer complaint.  Carver was recently the subject of a customer complaint, alleging elder abuse.

 

Stephen Carver was a financial advisor and registered representative of Cetera Advisors from November 2010 to September 2017.  He was also affiliated with Lifemark Securities Corp. from November 2017 to December 2018.  He worked at a branch office in Peoria, Illinois.  Carver has been the subject of three customer complaints and three judgments or liens.

 

Brokerage firms like Cetera Advisors 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 Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Illinois.  Attorney David Neuman is licensed to practice law in Illinois, graduated from the University of Illinois, and also lived for many years in the Chicago area.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Cetera Advisors.

 

Click to view:  Carver, Stephen FINRA AWC

 

If you lost money with Stephen Carver or Cetera Advisors, 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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