WARNING! Impending Investigation: JEFFREY H. AUERBACH and VFINANCE INVESTMENTS
Investigation of Jeffrey H. Auerbach and vFinance Investments, Inc.
Have you lost money with financial advisor Jeffrey Auerbach of New York, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jeffrey H. Auerbach and vFinance Investments, Inc., his brokerage firm. FINRA fined vFinance $35,000, alleging that vFinance conditioned a settlement on a customer’s agreement not to oppose a request for expungement made by Auerbach, in violation of FINRA Rule 2081.
Jeffrey Auerbach was a financial advisor and registered representative of VFINANCE Investments, Inc. from April 2003 to December 2012. He was also registered with National Securities Corp. from March 2012 to December 2012. He worked at a branch office in New York, New York. Auerbach has been the subject of at least four customer complaints and has been out of the securities industry since 2013.
Brokerage firms like VFINANCE Investments 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 New York. 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: Auerbach BrokerCheck 1.27.16
Click to view: vFinance FINRA AWC
HAVE YOU LOST MONEY WITH JEFFREY AUERBACH OR VFINANCE?
Denver Office: (720) 599-3505
Seattle Office: (206) 795-5798
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DENVER: (720) 599-3505
SEATTLE: (206) 795-5798