INVESTOR WARNING! Becky Halphin from North Kansas City, Missouri
Have you lost money with financial advisor Becky Halphin of North Kansas City, Missouri? We are investigating allegations made by the Missouri Securities Division, against Becky V. Halphin.
The Missouri Securities Division alleged that Becky Halphin borrowed money from at least two customers of her brokerage firm, General Securities Corp., between November 2010 and October 2012. It was alleged that Halphin used the money to invest in real estate properties in the Kansas City area. It is generally against securities regulations, as well as generally against General Securities Corp.’s internal policies, to borrow money from customers without prior approval from the firm. Missouri barred Halphin from the securities industry and also was ordered to pay $500, along with a deferred fine of $4,500.
Becky Halphin was a financial advisor and registered representative of General Securities Corp., Inc. from September 2006 to September 2014. She worked at a branch office in North Kansas City, Missouri. She was also affiliated with Halphin Enterprises; Holds Senior Resources; and GVFG, LLC, which invested in real estate. Halphin was also previously fined twice by the Missouri Securities Division, and she was also previously fired by another brokerage firm, Princor Financial Services.
Brokerage firms like General Securities Corp. 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, Ann Arbor, Chicago, Vancouver, and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Missouri and the Kansas City area, including victims of the Selden Companies fraud run by Mark Sellers. Our attorneys have represented over one thousand investors against many brokerage firms in the past. All of our arbitration cases are taken on a contingent fee basis.
Click to view: Halphin, Becky Missouri Order
Click to view: Halphin, Becky BrokerCheck 11.11.16
HAVE YOU LOST MONEY WITH BECKY HALPHIN OR GENERAL SECURITIES CORP.?
CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION
Aaron Israels: (720) 599-3505
David Neuman: (206) 795-5798
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.