John Heath and Independent Financial Group
Have you lost money with financial advisor John Heath of Bloomington, Minnesota? We are investigating allegations made by Minnesota Department of Commerce, against John V. Heath. Minnesota is investigating Heath regarding allegations that he engaged in dishonest and deceptive activities related to client funds. According to John Heath’s BrokerCheck report, he was terminated from his brokerage firm, Independent Financial Group, after he admitted to taking client funds.
John Heath was a financial advisor and registered representative of Independent Financial Group from February 2011 to March 2016. He worked at a branch office in Bloomington, Minnesota. Heath also was affiliated with JVH Wealth Management. Heath is currently the subject of one customer complaint.
Brokerage firms like Independent Financial Group 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 Minnesota and the Twin Cities area. 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 AmJohna, National Securities Corp., and many others.
Click to view: Heath MN Comp
Click to view: Heath BrokerCheck 6.7.16
HAVE YOU LOST MONEY WITH JOHN HEATH OR INDEPENDENT FINANCIAL GROUP?
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Denver Office: (720) 599-3505
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