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WARNING! Impending Investigation–DEREK L. WEAVER and PRUCO SECURITIES

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23
Dec

WARNING! Impending Investigation–DEREK L. WEAVER and PRUCO SECURITIES

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Derek L. Weaver and Pruco Securities

Have you lost money with financial advisor Derek L. Weaver from Birmingham, Alabama?    We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Derek Weaver.  FINRA recently barred Weaver from the securities industry because he failed to respond and cooperate with an investigation.  FINRA was investigating Weaver over allegations that he was involved in a Ponzi scheme.

Derek L. Weaver was a financial advisor and registered representative of Pruco Securities from February 2012 to April 2013, and with MetLife Securities from May 2008 to January 2012.  His BrokerCheck report discloses that at least two other customers have filed complaints involving his conduct, including the sale of “unregistered securities”.  He also filed for bankruptcy in 2008, and Weaver has a misdemeanor crime reported on his BrokerCheck report.

Broker-dealers like Pruco Securities and MetLife Securities have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives.  Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Our attorneys have represented hundreds of investors who have defrauded by their financial advisor or stockbroker.  We have also previously represented clients throughout Alabama, Georgia, Mississippi, and Tennessee.  If you have lost money with Derek L. Weaver, Pruco Securities, or MetLife Securities 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 here to view FINRA AWC:  Weaver 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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