Brian Egan and Independent Financial Group
Have you lost money with financial advisor Brian Egan of Laguna Niguel, California? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Brian J. Egan. FINRA barred Egan from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Egan regarding allegations that he failed to disclose to his brokerage firm, Independent Financial Group, that he had trading authority for 87 brokerage accounts for himself and 60 for his customers.
Brian Egan was a financial advisor and registered representative of Independent Financial Group from April 2010 to July 2015. He worked at a branch office in Laguna Niguel, California. Independent Financial Group terminated Egan after it learned of these allegations.
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 California. 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: Egan, Brian FINRA AWC
Click to view: Egan, Brian BrokerCheck 8.3.16
HAVE YOU LOST MONEY WITH BRIAN EGAN OR INDEPENDENT FINANCIAL GROUP?
CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION
Denver Office: (720) 599-3505
Seattle Office: (206) 795-5798
Our office handles all of our arbitration cases on a contingent fee basis, meaning you do not pay unless we recover money for you.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.