WARNING! Impending Investigation: THOMAS KOLBE and FCG ADVISORS, LLC
Thomas Kolbe and FCG Advisors, LLC
Have you lost money with financial advisor Thomas Kolbe of Centennial, Colorado? We are investigating allegations made by the Securities and Exchange Commission (SEC) against Thomas A. Kolbe. The SEC previously barred Kolbe from the securities industry back in 2004, with a chance for reinstatement after one year, for allegations concerning market timing. As part of the 2004 order, Kolbe was fined $150,000.
Pursuant to the 2004 order, Kolbe was required to get permission from the SEC to reapply to become an investment advisory representative. Instead, Kolbe became a representative but failed to get permission from the SEC, so the SEC brought another action against him in November 2015. According to the SEC’s most recent allegations, Thomas Kolbe affiliated himself with three firms, including FCG Advisors LLC.
Thomas Kolbe was a financial advisor and registered representative of FCG Advisors LLC from December 2008 to March 2010. He worked at a branch office in Centennial, Colorado.
Brokerage firms like FCG Advisors 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 Colorado and throughout the Denver area. Attorney Aaron Israels is licensed to practice law in Colorado. 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.
HAVE YOU LOST MONEY WITH THOMAS KOLBE or FCG ADVISORS?
Denver Office: (720) 599-3505
Seattle Office: (206) 795-5798
Click to view: Kolbe SEC AWC
Click to view: Kolbe BrokerCheck 11.18.15
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DENVER: (720) 599-3505
SEATTLE: (206) 795-5798