Investment Losses with WARREN ROWE of Oppenheimer

Israels & Neuman, PLC

RICHMOND, VIRGINIA

Have you invested with financial advisor Warren Rowe of Richmond, Virginia? Israels & Neuman is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Warren E. Rowe, Jr. FINRA barred Rowe from the securities industry after he failed to respond to an investigation. Rowe was alleged to have borrowed money from customers, which is generally now allowed in the securities industry.

Warren Rowe was a financial advisor and registered representative of Oppenheimer & Co. from 2011 to May 2020. He worked at a branch office in Richmond, Virginia. Rowe has been the subject of eight customer complaints, and he was also fired by Oppenheimer & Co.

Brokerage firms like Oppenheimer & Co. 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; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Virginia in the past. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Oppenheimer & Co.

Click to view: Rowe, Warren BrokerCheck 1.5.22

Click to view: Rowe, Warren FINRA AWC

If you lost money with Warren Rowe or Oppenheimer & Co., please CONTACT US at 206-795-5798 for a free evaluation of your case.

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