Brian Pittman and Sabadell Securities USA, Inc.
Have you lost money with financial advisor Brian Pittman of Miami, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Brian L. Pittman. FINRA investigated Pittman after it was alleged that he sold petroleum or oil and gas private placements to his customers, without authorization from his brokerage firm, Sabadell Securities USA.
Brian Pittman was a financial advisor and registered representative of Sabadell Securities USA, Inc. from October 2012 to February 2014. He worked at a branch office in Miami, Florida.
Brokerage firms like Sabadell Securities USA 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 Florida. Attorney David Neuman is licensed to practice law in Florida. 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.
Click to view: Pittman FINRA AWC
Click to view: Pittman BrokerCheck 2.3.16
HAVE YOU LOST MONEY WITH BRIAN PITTMAN OR SABADELL SECURITIES USA?
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