WEST PALM BEACH, FLORIDA

 Have you lost money with financial advisor Caroline Mohan, formerly with LPL Financial, in West Palm Beach, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Caroline Mohan, formerly Caroline Reyes. FINRA barred Caroline Reyes Mohan from the securities industry after she failed to respond to a FINRA investigation.  FINRA was investigating her for allegations that she engaged in undisclosed outside business activities and private securities transactions.  In essence, Reyes Mohan was accused of selling investments that were not approved by LPL Financial.

Caroline Mohan was a financial advisor and registered representative of LPL Financial from July 2017 to March 2021.  She worked at a branch office in West Palm Beach, Florida.  She was also affiliated with Founders Financial Alliance and Founders Wealth Advisors.

Brokerage firms like LPL Financial 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; Ann Arbor, Michigan; Phoenix, Arizona; and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Attorney David Neuman is licensed to practice law in Florida.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial.

Click to view Mohan, C. BrokerCheck Report

If you lost money with Caroline Mohan or LPL Financial, CONTACT ISRAELS & NEUMAN LAW FIRM at 720-599-3505 for a free evaluation of your case.