Enoch Booth, Formerly of VALIC Financial Advisors, Barred From Securities Industry

COLUMBIA, SOUTH CAROLINA — Have you lost money with financial advisor Enoch Booth, formerly of VALIC Financial Advisors in Columbia, South Carolina?  We are looking into allegations made against Enoch Booth by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Booth from the securities industry.  It was alleged that Booth engaged in private securities transactions without disclosing such to his brokerage firm, VALIC Financial Advisors.

Enoch Booth was a registered representative of VALIC Financial Advisors from 2001 to January 2021.  He has worked at branch offices in Columbia, South Carolina.  Booth was also terminated by VALIC Financial Advisors regarding these allegations.

Brokerage firms like VALIC 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 South Carolina.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against VALIC Financial Advisors.

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If you lost money with Enoch Booth or VALIC Financial Advisors, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.