WARNING! Impending Investigation: BARBARA FIFE and LPL FINANCIAL
Barbara Fife and LPL Financial
Have you lost money with financial advisor Barbara D. Fife of Fishers, Indiana? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Barbara Fife. FINRA barred Fife from the securities industry, after she failed to respond to a FINRA investigation that she converted or stole money from clients.
Barbara D. Fife was a financial advisor and registered representative of LPL Financial from 2007 to June 2014. She was also affiliated with Dunlap Wealth Management Group. She worked at branch office in Fishers, Indiana. Fife’s BrokerCheck report discloses that she has been the subject of at least five customer complaints, including one pending complaint alleging that she took over $200,000 from a customer.
Brokerage firms like LPL Financial 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 the Indianapolis area and throughout Indiana. 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 James, ProEquities, Securities America, National Securities Corp., and many others.
If you lost money with Barbara D. Fife or LPL Financial, please Contact Us at 720-599-3505 for a free evaluation of your case.
Click to view: Fife FINRA AWC
Click to view: Fife BrokerCheck 10.7.15