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WARNING! Impending Investigation: ANTHONY DIAZ, formerly of IBN FINANCIAL SERVICES, INC.

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Sep

WARNING! Impending Investigation: ANTHONY DIAZ, formerly of IBN FINANCIAL SERVICES, INC.

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Israels & Neuman, PLC Investigates ANTHONY DIAZ (CRD# 4131948), Formerly of IBN FINANCIAL SERVICES, INC. (CRD# 42360 / SEC# 8-49815)

 

Have you lost money with financial advisor ANTHONY DIAZ (CRD# 4131948) formerly of IBN FINANCIAL SERVICES, INC. (CRD# 42360 / SEC# 8-49815) Northeast, Pennsylvania? We are investigating allegations made by the Pennsylvania Department of Banking and Securities, related to the conduct of Anthony Diaz. Anthony Diaz’s CRD report, a public record maintained by FINRA, the Financial Industry Regulatory Authority, states that:

 

Anthony Diaz (respondent) engaged in dishonest or unethical practices in the securities business and took unfair advantage of PA customers, and has in connection with the offer, sale or purchase of a security in PA, directly or indirectly employed a device, scheme or artifice to defraud, and made untrue statements of material fact or omitted to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading. In doing so, Respondent has engaged in acts, practices or courses of business, which operated or would operate as a fraud or deceit upon PA residents, and induced or attempted to induce the purchase or sale of securities by means of a manipulative, deceptive, or fraudulent scheme.

 

Diaz has been permanently barred from selling securities in the state of Pennsylvania, and has also been barred from FINRA for the above said practices.

 

Mr. Diaz is currently involved in 21 customer lawsuits, filed in FINRA arbitration, wherein his former customers are seeking to recover roughly 8 million dollars in alleged losses from Diaz and his former employers.

 

Diaz was a registered financial advisor with IBN Financial Services, Inc. from September 2012 to April of 2014.  Prior to that, Diaz was registered with Sandlapper Securities, LLC, International Financial Solutions, LLC, Kovack Securities, Inc., Matrix Capital Group, Inc., SII Investments Group, Inc., First Allied Securities, Inc., Round Hill Securities, Inc., Raymond James Financial Services, Inc., Edward Jones, and Horwitz & Associates, Inc.

 

Brokerage firms 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 the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Pennsylvania. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including AXA Advisors, LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.

 

If you lost money with Anthony Diaz or IBN Financial Services, Inc., please Contact Us at 720-599-3505 for a free evaluation of your case.

 

Click to view:

Click to view:  diaz brokercheck

 

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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