10.0David P Neuman
(720) 599-3505

WARNING! Impending Investigation: JEFFREY H. AUERBACH and VFINANCE INVESTMENTS

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28
Jan

WARNING! Impending Investigation: JEFFREY H. AUERBACH and VFINANCE INVESTMENTS

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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?   

              CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION

                Denver Office: (720) 599-3505

                Seattle Office: (206) 795-5798

 

 

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

FREE CASE EVALUATION

DENVER: (720) 599-3505

SEATTLE: (206) 795-5798


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