INVESTOR WARNING! David Major from New York, New York
Have you lost money with financial advisor David Major of New York, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David W. Major. FINRA barred Major from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating David Major regarding allegations that he may have violated investment-related statutes, regulations, rules or industry standards of conduct while he was affiliated with a brokerage firm, GFI Securities.
David Major was a financial advisor and registered representative of GFI Securities from 2003 to May 2016. He worked at a branch office in New York, New York. His BrokerCheck report also discloses that he was allowed to “voluntarily resign” by GFI Securities for this conduct, which is allegedly related to emerging markets bonds.
Brokerage firms like GFI 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 Chicago; Denver, Colorado; the Seattle area; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Major, David FINRA AWC
Click to view: Major, David BrokerCheck 11.16.16
HAVE YOU LOST MONEY WITH DAVID MAJOR OR GFI SECURITIES?
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.