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WARNING! Impending Investigation of SCOTT PALMER – Hackensack, NJ

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16
Apr

WARNING! Impending Investigation of SCOTT PALMER – Hackensack, NJ

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WARNING!  Impending Investigation of SCOTT PALMER – Hackensack, NJ

Scott Palmer, formerly with Janney Montgomery Scott, Barred from Securities Industry

 

Have you lost money with financial advisor Scott Palmer of Hackensack, New Jersey?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Scott William Palmer. FINRA barred Palmer from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Palmer regarding allegations that he potentially violated suitability rules.

 

Scott Palmer was a financial advisor and registered representative of Janney Montgomery Scott from March 2007 to June 2017.  He worked at a branch office in Hackensack, New Jersey.  Palmer has been the subject of at least twelve customer cases.  Palmer was also fired by Janney Montgomery Scott.

 

Brokerage firms like Janney Montgomery Scott 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 New Jersey.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

 

Click to view:  Palmer, Scott FINRA AWC

Click to view:  Palmer, Scott BrokerCheck 4.16.18

 

If you lost money with Scott Palmer or Janney Montgomery Scott, 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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