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WARNING! Impending Investigation: JEFFREY D. SNYDER and ROCKWELL GLOBAL CAPITAL, INC.

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15
Oct

WARNING! Impending Investigation: JEFFREY D. SNYDER and ROCKWELL GLOBAL CAPITAL, INC.

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WARNING!  Impending Investigation:  JEFFREY D. SNYDER and ROCKWELL GLOBAL CAPITAL, INC.

Jeffrey D. Snyder and Rockwell Global Capital, Inc.

 

Have you lost money with financial advisor Jeffrey Snyder of Danbury, Connecticut?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jeffrey D. Snyder. FINRA barred Snyder from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Snyder regarding allegations that he settled a customer’s complaint without authorization or notification to his brokerage firm.

 

Jeffrey Snyder was a financial advisor and registered representative of Rockwell Global Capital from September April 2012 to April 2015.  He was also affiliated with Spartan Capital Securities from August 2008 to April 2012 and with Network 1 Financial from March 2015 to September 2015.  He worked at a branch office in Danbury, Connecticut.  Snyder has been the subject of at least six customer complaints.

 

Brokerage firms like Rockwell Global Capital 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 Connecticut. 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.

 

Have you lost money with Jeffrey Snyder or Rockwell Global Capital ?   

 

                Contact Israels & Neuman, PLC for a Free Consultation

                Denver Office: (720) 599-3505

                Seattle Office: (206) 795-5798

 

Click to view:  Snyder FINRA AWC (1)

Click to view:  Snyder BrokerCheck 10.15.15

 

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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