LISA CASPER Barred From Securities Industry
Lisa Casper from Milwaukee, Wisconsin Barred From Securities Industry
Have you lost money with financial advisor Lisa Casper of Milwaukee, Wisconsin? We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Lisa D. Casper. FINRA barred Lisa Casper from the securities industry after she failed to respond to an investigation. FINRA was investigating Casper after she was terminated by her former brokerage firm, Robert W. Baird & Co., for allegedly forging her name and inappropriately accessing a customer’s funds.
Lisa Casper was a financial advisor and registered representative of Robert W. Baird & Co. from May 2013 to June 2017. She worked at a branch office in Milwaukee, Wisconsin.
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; and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Wisconsin and throughout the greater Milwaukee area. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Casper, Lisa FINRA AWC
Click to view: Casper, Lisa BrokerCheck 11.3.17
If you lost money with Lisa Casper or Robert W. Baird & 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.