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INVESTOR ALERT! PHILIP NALESNIK of LPL Financial BARRED

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20
May

INVESTOR ALERT! PHILIP NALESNIK of LPL Financial BARRED

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INVESTOR ALERT!  PHILIP NALESNIK of LPL Financial BARRED

Philip Nalesnik, formerly with LPL Financial, Barred from Securities Industry

 

Have you lost money with financial advisor Philip Nalesnik of LPL Financial in Pottsville, Pennsylvania? 

 

The law firm of Israels & Neuman is investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Philip Nalesnik.  FINRA barred Nalesnik from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Nalesnik after he was terminated by his former brokerage firm, LPL Financial.  LPL Financial terminated him for allegations that he violated firm policy regarding outside business activities.

 

Philip John Nalesnik was a financial advisor and registered representative of LPL Financial from 2008 to July 2018.  He worked at a branch office in Pottsville, Pennsylvania.  Nalesnik was also affiliated with Private Advisor Group in Morristown, Pennsylvania.  He also has been the subject of five prior customer complaints.

 

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 in Pennsylvania, such as victims of the Doug Simanski scheme. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial.

 

Click to view:  Nalesnik, Philip BrokerCheck

Click to view:  Nalesnik, Philip FINRA AWC

 

If you lost money with Philip Nalesnik 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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