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WARNING! Impending Investigation–MARK FOSTER and STERN FISHER EDWARDS, INC.

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14
Aug

WARNING! Impending Investigation–MARK FOSTER and STERN FISHER EDWARDS, INC.

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Mark Foster and Stern Fisher Edwards, Inc.

Have you been a victim of theft by financial advisor Mark Foster?  We are currently investigating Los Angeles, California-based financial advisor Mark Foster, who was recently barred from the securities industry.  On August 7, 2014, FINRA (the Financial Industry Regulatory Authority) barred Foster for allegedly misappropriating and stealing at least $2 million from his customers.

Mark Foster was a registered representative and financial advisor with Stern Fisher Edwards, Inc. from December 2006 to May 2012.  Stern Fisher Edwards permitted Foster to resign after it began an internal investigation related to the theft of customer funds.

Broker-dealers like Stern Fisher Edwards 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.  If you have lost money through Mark Foster and Stern Fisher Edwards and want to hear about ALL legal options, please visit https://www.israelsneuman.com/ or call us at 720-599-3505.

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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