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Israels & Neuman, PLC Investigates Dennis Van Patter of VSR Financial Services

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24
Nov

Israels & Neuman, PLC Investigates Dennis Van Patter of VSR Financial Services

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Israels & Neuman, PLC Investigates Dennis Van Patter of VSR Financial Services

Israels & Neuman, PLC Investigates Dennis Van Patter of VSR Financial Services

 

Have you lost money with financial advisor Dennis Van Patter with VSR Financial Services of Plano, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, regarding Dennis Van Patter.  FINRA alleged that Van Patter recommended that one of his clients invest 52% of his liquid net worth in “alternative” investments like private placements and non-traded REITs.

 

FINRA alleged that these investments were unsuitable for the investor, considering his investment objectives.  To settle these allegations, Van Patter agreed to pay a $10,000 fine and agreed to be suspended from the securities industry for 45 days.

 

Dennis Van Patter has been a financial advisor and registered representative of VSR Financial Services from 1997 to the present.  He works at a branch office in Plano, Texas.  Van Patter has been the subject of at least 7 customer complaints, in addition to FINRA’s investigation.

 

Brokerage firms like VSR Financial 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 and in Bellevue, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Texas. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including, VSR, AXA Advisors, LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.

 

HAVE YOU LOST MONEY WITH DENNIS VAN PATTER OR VSR FINANCIAL ?   

 

             CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION

                Denver Office: (720) 599-3505

                Seattle Office: (206) 795-5798

 

Click to view:  Van Patter FINRA AWC

Click to view:  Van Patter BrokerCheck 11.24.15

 

FREE CASE EVALUATION

DENVER: (720) 599-3505

SEATTLE: (206) 795-5798


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