10.0David P Neuman
(720) 599-3505

WARNING! Impending Investigation: THOMAS KOLBE and FCG ADVISORS, LLC

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18
Nov

WARNING! Impending Investigation: THOMAS KOLBE and FCG ADVISORS, LLC

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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?   

 

             CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CONSULTATION

                Denver Office: (720) 599-3505

                Seattle Office: (206) 795-5798

 

Click to view:  Kolbe SEC AWC

Click to view:  Kolbe BrokerCheck 11.18.15

 

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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DENVER: (720) 599-3505

SEATTLE: (206) 795-5798


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