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WARNING! Impending Investigation–DANIEL G. RETZKE and EDWARD JONES

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09
Mar

WARNING! Impending Investigation–DANIEL G. RETZKE and EDWARD JONES

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Daniel G. Retzke and Edward Jones

Have you lost money with financial advisor Daniel G. Retzke of Freeport, Illinois?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel Retzke.  Retzke agreed to be barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Retzke for allegations that he sold private securities offerings (or private placements) without approval from his brokerage firm, Edward Jones.  Retzke was also alleged to have solicited a loan from a customer, which is generally impermissible under industry standards and most brokerage firms’ internal rules.

Daniel G. Retzke was a financial advisor and registered representative of Edward Jones from 1992 to November 2014.  He worked at an Edward Jones branch office in Freeport, Illinois.  He is no longer with Edward Jones.

Brokerage firms like Edward Jones 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 throughout the country.  While we have offices in Denver and the Seattle area, we have also previously represented numerous clients throughout western Illinois, and both of our attorneys are licensed to practice law in Illinois.  If you have lost money with Daniel G. Retzke or Edward Jones 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:  Retzke FINRA AWC

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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