WARNING! Impending Investigation: ANTHONY G. EPPS and NY LIFE DISTRIBUTORS
Anthony G. Epps and NY Life Distributors
Have you lost money with financial advisor Anthony L. Epps of White Plains and Sleepy Hollow, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony Epps. Epps was suspended from the securities industry for one year following FINRA’s investigation regarding selling investments in an unapproved outside business activity.
FINRA alleges that Anthony Epps solicited his clients to invest in Nexus Health Juice in 2010 and 2011. At the time, Epps was a registered representative of NY Life Distributors. He did not have approval from NY Life to sell investments in Nexus Health Juice and therefore was in violation of company policy and FINRA rules. Epps was also alleged to have failed to disclose three tax liens. For these alleged violations, FINRA suspended Epps for one year.
Anthony G. Epps was a financial advisor and registered representative of NY Life Distributors from September 2009 to March 2012. He also was registered with NY Life Securities from June 2012 to June 2013. He worked at branch offices in White Plains and Sleepy Hollow, New York.
Brokerage firms like NY Life Distributors 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, such as refraining from selling investments and securities that are not approved by the firm. 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 New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond Anthony, ProEquities, Securities America, National Securities Corp., and many others.
If you lost money with Anthony Epps or NY Life Distributors, please Contact Us at 720-599-3505 for a free evaluation of your case.
Click to view: Epps FINRA AWC
Click to view: Epps BrokerCheck 6.17.15
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