10.0David P Neuman
(720) 599-3505

SECURITIES AMERICA Ordered to Pay Restitution to Customers

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30
Mar

SECURITIES AMERICA Ordered to Pay Restitution to Customers

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SECURITIES AMERICA Ordered to Pay Restitution to Customers

Securities America Settlement with FINRA

Have you lost money investing in the LJM Preservation and Growth Fund through Securities America?  We are currently investigating allegations made against the LaVista, Nebraska-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Securities America, making allegations that it failed to do adequate due diligence on the LJM Preservation and Growth Fund.  In particular, FINRA alleged that they failed to understand the particular risks of the Fund.  To settle these allegations, Securities America agreed to pay a $100,000 fine and restitution of $235,979.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including Nebraska.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

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.
10.0David P Neuman

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