The attorneys at Israels & Neuman, PLC, have extensive experience representing investors in proceedings to recover their investment losses from their financial advisers and broker-dealers. Broker-dealers 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 ta
ke steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. It is unlawful for an advisor to make trades in a customer’s account without their prior authorization, unless the advisor has a written agreement to do so with the customer. When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers. Our firm has offices in Denver, CO; Seattle, WA, Ann Arbor, MI; and Phoenix, AZ, and we represent clients in all 50 states. If you feel you have lost money due to your advisor or broker-dealer, call our office today to discuss your legal options. Our consultations are always free, and we take cases on a contingent fee basis—this means you don’t pay us until we resolve your case. Call us today at (720) 599-3505
Aaron Israels email: [email protected]
David Neuman email: [email protected]
