William Brunner, formerly with Investment Planners, Barred from Securities Industry
Have you lost money with financial advisor William Brunner of Huntington, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William George Brunner. FINRA barred Brunner from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Brunner regarding allegations that he engaged in excessive trading or churning with customer accounts.
William Brunner was a financial advisor and registered representative of Investment Planners from February 2015 to May 2017. He also was registered with First Midwest Securities from May 2009 to February 2015. He worked at a branch office in Huntington, New York. Brunner has been the subject of at least five customer cases, and he was also allowed to resign by Investment Planners.
Brokerage firms like Investment Planners 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; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout New York and the New York City area. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Brunner, William FINRA AWC
Click to view: Brunner, William BrokerCheck 4.9.18
If you lost money with William Brunner or Investment Planners, 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.