INVESTOR ALERT! Lisa Acca of Arive Capital Markets BARRED
Lisa Acca, previously with Arive Capital Markets, Barred by FINRA
Have you lost money with financial advisor Lisa Acca? The law firm of Israels & Neuman is investigating allegations made about Lisa Acca from Bay Ridge, New York. FINRA (the Financial Industry Regulatory Authority) barred Acca from the securities industry after she failed to respond to its investigation. FINRA was investigating Acca after she allegedly sold investments without permission from her former brokerage firm, Arive Capital Markets.
Lisa Acca was a financial advisor and registered representative of Arive Capital Markets from April 2015 to October 2017. She worked in a branch office in Bay Ridge, New York. Acca was the subject of four customer complaints and was terminated by another firm in 2010.
Brokerage firms like Arive Capital Markets 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 New York. Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past.
Click to view: Acca, Lisa FINRA AWC
Click to view: Acca, Lisa BrokerCheck 8.12.19
If you lost money with Lisa Acca or Arive Capital Markets, 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.