INVESTIGATION of KEVIN LEE and MARTIN NELSON & CO.
Kevin Lee, formerly with Martin Nelson & Co., Barred from Securities Industry
Have you lost money with financial advisor Kevin Lee of Lake Oswego and Corvallis, Oregon? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kevin James Lee. FINRA barred Lee from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Lee regarding allegations that he received funds from a customer and may have engaged in an undisclosed outside business activity.
Kevin Lee was a financial advisor and registered representative of Martin Nelson & Co. from June 2015 to April 2017. He also was affiliated with Capital Financial Services from March 2015 to June 2015, and with KMS Financial Services from 2003 to August 2014. He worked at branch offices in Lake Oswego and Corvallis, Oregon.
Brokerage firms like Martin Nelson & 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 Seattle, Washington; Vancouver, Washington; Denver, Colorado; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Oregon. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Lee, Kevin FINRA AWC
Click to view: Lee, Kevin BrokerCheck 4.16.18
If you lost money with Kevin Lee or Martin Nelson & Co., 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.