Dartanian Sanders from Metairie, Louisiana Barred From Securities Industry
Have you lost money with financial advisor Dartanian Sanders of Metairie, Louisiana? We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Dartanian VJ Sanders. FINRA barred Dartanian Sanders from the securities industry after he failed to fully respond to an investigation. FINRA was investigating Sanders after he was terminated by his former brokerage firm, PFS Investments, regarding allegations that he borrowed $100,000 through four entities that he controlled.
Dartanian Sanders was a financial advisor and registered representative of PFS Investments at various times between 2000 and January 2017. He worked at a branch office in Metairie, Louisiana. A public records search of Louisiana corporations reveals that Sanders is the agent or officer of several entities, including Omni Universal Enterprises, Omni Universal Trade Exchange, Follow Your Dreams Foundation, and Unity Bible College.
Brokerage firms like PFS Investments 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 Louisiana and throughout the greater New Orleans area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including PFS Investments.
Click to view: Sanders, Dartanian FINRA AWC
Click to view: Sanders, Dartanian BrokerCheck 10.12.17
If you lost money with Dartanian Sanders or PFS Investments, 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.