Donnell Bowen formerly with Northwestern Mutual Investment Services, Barred from Securities Industry
Have you lost money with financial advisor Donnell Bowen, III of Washington, D.C.? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Donnell Noah Bowen. FINRA barred Bowen from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Bowen regarding allegations of forgery of client signatures on insurance documents.
Donnell Bowen was a financial advisor and registered representative of Northwestern Mutual Investment Services from April 2009 to February 2017. He worked at a branch office in Washington, D.C. Bowen has also been the subject of 13 customer complaints, and he was also “permitted to resign” by Northwestern Mutual Investment Services while under its internal investigation.
Brokerage firms like Northwestern Mutual Investment 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; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout the Washington, D.C. area. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Bowen, Donnell FINRA AWC
Click to view: Bowen, Donnell BrokerCheck 6.4.18
If you lost money with Donnell Bowen, or Northwestern Mutual Investment 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.