Israels & Neuman Law Firm Investigates William Wobbe, of Hilliard Lyons

Have you lost money with financial advisor William Ray Wobbe, of Hilliard Lyons in Louisville, Kentucky?  We are investigating allegations of former customers related to William Wobbe.  Wobbe’s CRD report, a public record maintained by FINRA, states that Wobbe has been the subject of two customer complaints and FINRA arbitration lawsuits.

Specifically, William Wobbe’s CRD report states that some of his customers alleged unsuitable investment recommendations in connection with the sales of Breitburn Energy.

William Wobbe has been a registered representative of Hilliard Lyons from 1995 to the present.  He has worked at a branch office in Louisville, Kentucky.

Brokerage firms like Hilliard Lyons 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 and in Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Kentucky and the Louisville area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including claims against Hilliard Lyons involving Breitburn Energy.

If you lost money with William Wobbe, Breitburn Energy, Hilliard Lyons, please CONTACT US at 720-599-3505 or 206-795-5798 for a free evaluation of your case.