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WARNING! Impending Investigation–METLIFE SECURITIES and JOHN D. FORD

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16
Feb

WARNING! Impending Investigation–METLIFE SECURITIES and JOHN D. FORD

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John D. Ford and MetLife Securities

We are currently investigating allegations made by the Utah Division of Securities against financial advisor John Darin Ford from Sandy, Utah.  The Utah Division of Securities, headquartered in Salt Lake City, recently brought a regulatory complaint against John Ford, alleging that Ford altered and forged client signatures on IRA distribution forms.  It was alleged that Ford did this on at least 7 separate occasions.  The Utah Division of Securities alleged that John Ford used white-out to change dates and distribution amounts on client forms.  He was alleged to have cut and pasted client signatures from other previously signed documents.  The Utah Division of Securities seeks to punish Ford and fine him $5,000.

John D. Ford was a financial advisor and registered representative of MetLife Securities from 2005 to July 2013.  MetLife Securities terminated Ford after these allegations came to light.  Ford was also an insurance producer.

Brokerage firms like MetLife Securities 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, such as refraining from altering or forging client signatures on documents.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Our attorneys have represented hundreds of investors who have been defrauded by their financial advisor or stockbroker.  While we have offices in Denver and the Seattle area, we have also previously represented numerous clients in Utah.  If you have lost money with John D. Ford or MetLife Securities 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 to view Complaint regarding John Ford:  Ford UT Complaint

 

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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