Israels & Neuman, PLC Investigates Financial Advisor, Kevin Nevin
EDINA, MINNESOTA – Have you lost money with financial advisor Kevin Nevin, formerly of Dempsey Lord Smith in Edina, Minnesota? We are looking into allegations made against Kevin Nevin, who has been the subject of five (5) customer complaints. Nevin was terminated by Dempsey Lord Smith for sending out consolidated reports without getting approval and has also been suspended by FINRA for failing to respond to an investigation.
Kevin M. Nevin was a registered representative of Dempsey Lord Smith from May 2019 to February 2021. He has worked at branch offices in Edina, Minnesota.
Brokerage firms like Dempsey Lord Smith 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; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Minnesota. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view BrokerCheck: Nevin, Kevin BrokerCheck 6.16.21
If you lost money with Kevin Nevin, or Dempsey Lord Smith, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.