Investigation of Thomas Stamborski and LaSalle St. Securities, LLC
Have you lost money with financial advisor Thomas Stamborski of Palatine, Illinois? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Thomas Stamborski. FINRA barred Stamborski from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Stamborski regarding allegations that he failed to update his disclosures regarding an outside business activity when a material change had occurred.
Thomas Stamborski was a financial advisor and registered representative of LaSalle St. Securities, Inc. from 2005 to December 2015. He worked at a branch office in Palatine, Illinois.
Brokerage firms like LaSalle St. Securities 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 Illinois. Attorneys David Neuman and Aaron Israels are both licensed to practice law in Illinois. 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: Stamborski FINRA AWC
Click to view: Stamborski BrokerCheck 4.6.16
HAVE YOU LOST MONEY WITH THOMAS STAMBORSKI OR LASALLE STREET SECURITIES?
CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION
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