Nathan Koenig of Perrysburg, Ohio Sued by FINRA
Have you lost money with financial advisor Nathan Koenig of Perrysburg, Ohio? We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Nathan T. Koenig, a former advisor at Huntington Investment Company. FINRA alleged that Koenig tried to settle a case with a customer without disclosing it to Huntington Investment Company. The customer allegedly complained about the performance of a unit investment trust (UIT). To settle these allegations, Koenig paid a $5,000 fine and agreed to a 15-day suspension.
Nathan Koenig was a financial advisor and registered representative of Huntington Investment Company from February 2010 to July 2015. He worked at a branch office in Perrysburg, Ohio. Koenig’s BrokerCheck report discloses that he is the subject of six customer complaints, making allegations regarding market linked certificates of deposit (MLCD) and annuities. He was also terminated by Huntington Investment Company for trying to settle the claim without disclosing it.
Brokerage firms like Huntington Investment Company 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, the Seattle area, Chicago, and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including numerous investors in Ohio in the past. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Koenig, Nathan FINRA AWC
Click to view: Koenig, Nathan BrokerCheck 11.23.16
HAVE YOU LOST MONEY WITH NATHAN KOENIG OR HUNTINGTON INVESTMENT COMPANY?
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.