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Have You Lost Money with JOYCE AN THOMAS of Independent Financial?
Israels & Neuman Law Firm Assists Customers Who Lost Money with Joyce Thomas, of Independent Financial Group
Have you lost money with financial advisor Joyce An Thomas, previously with Voya Financial Advisors and now with Independent Financial Group in Diamond Bar, California? We are looking into allegations made against Joyce An Thomas, who has been the subject of two customer complaints, one of which was filed within the last year. The recent customer alleged that Thomas sold unsuitable investments in real estate. The customer alleged that alternative investments and real estate were recommended to them by Thomas.
Joyce An Thomas has been a registered representative of Independent Financial Group from October 2015 to the present. She also was with Voya Financial Advisors from November 2011 to October 2015. She has worked at branch offices in Diamond Bar, California. Thomas was terminated by Voya Financial Advisors in 2015.
Brokerage firms like Independent Financial Group and Voya Financial Advisors 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; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past, including against Voya Financial Advisors.
View Joyce Thomas BrokerCheck Report