10.0David P Neuman
(720) 599-3505

WARNING! Impending Investigation: BRENT BURGESSER and WELLS FARGO ADVISORS

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27
Apr

WARNING! Impending Investigation: BRENT BURGESSER and WELLS FARGO ADVISORS

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WARNING!  Impending Investigation:  BRENT BURGESSER and WELLS FARGO ADVISORS

Brent Burgesser and Wells Fargo Advisors

 

Have you lost money with financial advisor Brent Burgesser of Chandler, Arizona?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Brent W. Burgesser. FINRA alleged that from 2009 to 2012, Burgesser made unsuitable trading of Class “A” share mutual funds.  The front end sales charges that stemmed from this conduct cost his customers a combined $119,209.  To settle these claims, Burgesser agreed to pay a $5,000 fine and was suspended for 60 days.

 

Brent Burgesser was a financial advisor and registered representative of Wells Fargo Advisors from October 2008 to July 2012.  He also was affiliated with LPL Financial from July 2012 to December 2015.  He worked at branch offices in Chandler, Arizona; Sun Lakes, Arizona; and Plano, Texas.  He owned and operated Burgesser Wealth Management.

 

Brokerage firms like Wells Fargo Advisors 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 Phoenix area, and Texas. 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.

 

Click to view:  Burgesser FINRA AWC

Click to view:  Burgesser BrokerCheck 4.26.16

 

If you lost money with Brent Burgesser or Wells Fargo Advisors, 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.
10.0David P Neuman

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