Adam Veron, formerly of Questar Capital Corp., Barred from Securities Industry
Have you lost money with financial advisor Adam Veron of Lake Charles, Louisiana? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Adam K. Veron. FINRA barred Veron from the securities industry regarding allegations that he engaged in selling investments in Contract Funding and Corporate Management LLC (“CFCM”) without approval from his brokerage firm, Questar Capital Corp.
FINRA alleged that Adam Veron sold approximately $1.74 million in shares of Contract Funding and Corporate Management LLC. FINRA alleged that this conduct took place during 2015 and 2016, and that Veron served as President of Contract Funding and Corporate Management.
Adam Veron was a financial advisor and registered representative of Questar Capital Corp. from September 2013 to February 2017. He worked at branch offices in Lake Charles, Louisiana. Veron was also terminated by Questar Capital Corp. for this conduct.
Brokerage firms like Questar Capital 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, Colorado and the Seattle, Washington area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Louisiana and the New Orleans area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Questar Capital Corp.
Click to view: Veron, Adam FINRA AWC
Click to view: Veron, Adam BrokerCheck 8.23.17
If you lost money with Adam Veron or Questar Capital Corp., please CONTACT US at 720-599-3505 for a free evaluation of your case.
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.