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WARNING! Impending Investigation–BRIAN S. EXFORD and IBN FINANCIAL SERVICES

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05
Mar

WARNING! Impending Investigation–BRIAN S. EXFORD and IBN FINANCIAL SERVICES

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Brian S. Exford and IBN Financial Services

Have you lost money with financial advisor Brian S. Exford from Rochester, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Brian Exford.  Exford was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Exford for allegations that he sold private securities offerings (or private placements) without approval from his brokerage firm, IBN Financial Services.

Brian S. Exford was a financial advisor and registered representative of IBN Financial Services from August 2009 to October 2012, and with State Farm VP Management Corp. from November 2012 to March 2015.  Exford worked at branch offices in Rochester and Watertown, New York.  Exford was the subject of an arbitration complaint filed in mid-2014, alleging losses of $986,000.  Subsequently, Exford filed for bankruptcy in December 2014, but he also previously filed for bankruptcy in 1999.

Brokerage firms like IBN Financial Services 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.

Our attorneys have represented over one thousand investors who have been defrauded by their financial advisor or stockbroker.  While we have offices in Denver and the Seattle area, we have also previously represented clients throughout New York.  If you have lost money with Brian S. Exford or IBN Financial Services and want to hear about ALL legal options, please visit https://www.israelsneuman.com and go to our CONTACT page or call us at 720-599-3505.

Click to view FINRA AWC:  Exford FINRA AWC

Click to view Bankruptcy Petition:  Exford BK Petition

Click to view Exford List of Creditors:  Exford List of Creditors

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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