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SENIORS BEWARE! Financial Advisor MELVIN CASE – Jacksonville, FL

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22
Jan

SENIORS BEWARE! Financial Advisor MELVIN CASE – Jacksonville, FL

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SENIORS BEWARE!  Financial Advisor MELVIN CASE – Jacksonville, FL

Melvin Case, formerly with LPL Financial, Suspended from the Securities Industry

 

Have you lost money with financial advisor Melvin Case of Jacksonville, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Melvin E. Case. FINRA suspended Case from the securities industry for 6 months and fined him $5,000 regarding allegations that he failed to notify FINRA of a criminal plea.  In 2016, Case had pleaded guilty to exploitation of an aged adult, which constitutes a felony.  He was also terminated by his former brokerage firm, LPL Financial, for this conduct.

 

Melvin Case was a financial advisor and registered representative of LPL Financial from July 2008 to May 2017.   He worked at a branch office in Jacksonville, Florida.  Melvin Case has been the subject of at least five customer complaints, and LPL fired Case regarding these allegations.  He also ran a company called Case Financial Group.

 

Brokerage firms like LPL 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 Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout southern Florida and in Jacksonville. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against LPL Financial.

 

Click to view:  Case, Melvin FINRA AWC

Click to view:  Case, Melvin BrokerCheck 1.22.18

 

If you lost money with Melvin Case or LPL Financial, 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.

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