Kenneth Neuner from Dallas, Texas Barred From Securities Industry
Have you lost money with financial advisor Kenneth Neuner of Dallas, Texas? We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Kenneth B. Neuner. FINRA barred Kenneth Neuner from the securities industry after he failed to respond to an investigation. FINRA was investigating Neuner after he was terminated by his former brokerage firm, Summit Brokerage Services, for allegedly making unauthorized transactions in customer accounts.
Kenneth Neuner was a financial advisor and registered representative of Summit Brokerage Services from September 2016 to March 2017. He also was affiliated with VSR Financial Services from 1996 to September 2016. He worked at a branch office in Dallas, Texas.
Brokerage firms like Summit Brokerage Services 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 Texas and throughout the greater Dallas area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including VSR Financial Services.
Click to view: Neuner, Kenneth FINRA AWC
Click to view: Neuner, Kenneth BrokerCheck 10.12.17
If you lost money with Kenneth Neuner or Summit Brokerage Services, 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.