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WARNING! Impending Investigation–JOHN C. HANSON and NORTHWESTERN MUTUAL INVESTMENT SERVICES

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07
Nov

WARNING! Impending Investigation–JOHN C. HANSON and NORTHWESTERN MUTUAL INVESTMENT SERVICES

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John C. Hanson and Northwestern Mutual Investment Services

Have you lost money with financial advisor John C. Hanson from Spokane, Washington?  We are currently investigating allegations made against Hanson by FINRA, the Financial Industry Regulatory Authority.  FINRA recently barred Hanson from the securities industry for failing to respond to an investigation.  FINRA began investigating John Hanson because he was alleged to have stolen at least $300,000 from at least two customers of the brokerage firm that he worked for, Northwestern Mutual Investment Services.

John C. Hanson was a registered representative and financial advisor with Northwestern Mutual from 2004 to September 2014.  Hanson operated out of a Spokane, Washington branch office.  At least one customer has filed a claim regarding Hanson’s conduct.  Hanson also previously filed for bankruptcy in both 2010 and 2012.

Broker-dealers like Northwestern Mutual 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 previously represented t all over the country, including investors in the State of Washington.  Our firm has offices in Denver and the Seattle-area, but we continue to represent investors throughout the U.S., and we have attorneys that are licensed to practice in Washington.  We have also previously represented numerous investors who lost money because of theft or conversion.  If you have lost money through John Hanson and Northwestern Mutual Investment Services 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 regarding John C. Hanson:  Hanson 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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