WARNING! Investigation of NORMAN SICARD of FINANCIAL SERVICES CORP.
Norman Sicard, formerly with Broker Dealer Financial Services Corp., Barred from Securities Industry
Have you lost money with financial advisor Norman Sicard of Orlando, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Norman R. Sicard, Jr. FINRA barred Sicard from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Sicard regarding allegations that he made unsuitable investment recommendations to a customer, received a loan from a customer without disclosing such to his former brokerage firm (Broker Dealer Financial Services Corp.), and failed to timely disclose a 2010 bankruptcy.
Norman Sicard was a financial advisor and registered representative of Broker Dealer Financial Services Corp. from May 2011 to December 2016. He was also affiliated with Wunderlich Securities from March 2007 to May 2011. He worked at a branch office in Orlando, Florida. Sicard was the subject of one customer complaint, which alleged losses in annuities, ETFs, and stocks.
Brokerage firms like Broker Dealer Financial Services Corp. 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; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Florida and the Orlando area. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Sicard, Norman FINRA AWC
Click to view: Sicard, Norman BrokerCheck 5.10.18
If you lost money with Norman Sicard, or Broker Dealer Financial Services Corp., 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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