NEW YORK, NY
Have you lost money with financial advisor Chander K. Goel of New York, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Chander Goel. FINRA barred Goel after he failed to respond to an investigation. Goel was being investigated for issues related to disclosure of outside business activities and insurance sales practices.
Chander Goel was a financial advisor and registered representative of MML Investors Services from August 2016 to October 2019. He worked at a branch office in New York, New York. Goel was also previously terminated by NYLife Securities.
Brokerage firms like MML Investors Services 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; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York in the past. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against MML Investors Services.