INVESTOR WARNING! Dale Krueger BARRED from Securities Industry
Dale Krueger from Midland, Michigan Barred From Securities Industry
Have you lost money with financial advisor Dale Krueger of Midland, Michigan? We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Dale E. Krueger. FINRA barred Dale Krueger from the securities industry after he failed to respond to an investigation. FINRA was investigating Krueger regarding allegations that he accepted $25,000 from a customer in December 2011 to invest in collectible metals but failed to document the sale of the metals. He also was alleged to have sent $5,800 of this money to another representative (Robert Themm) as loans or commissions.
Dale Krueger was a financial advisor and registered representative of Moloney Securities from July 2011 to December 2015. He worked at a branch office in Midland, Michigan. Krueger has been the subject of at least 8 prior customer complaints. Robert Themm also worked with Moloney Securities from July 2011 to March 2014.
Brokerage firms like Moloney Securities 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 Ann Arbor, Michigan; Denver, Colorado; and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Michigan. Attorney Aaron Israels is licensed to practice law in Michigan, he grew up in Holland, Michigan and also lived for many years in the Detroit area. We have also represented a number of victims who had their money stolen by Michigan brokers, including Christopher Tolmacs. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Themm, Robert BrokerCheck 9.23.17
Click to view: Krueger, Dale FINRA AWC
Click to view: Krueger, Dale BrokerCheck 9.23.17
If you lost money with Dale Krueger, Robert Themm, or Moloney Securities, 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.