Cynthia Bolker, formerly of NYLife Securities, Barred by Oregon Division of Financial Regulation
Have you lost money with financial advisor Cynthia Bolker of San Diego, California? We are investigating allegations made by the Oregon Division of Financial Regulation against Cynthia Robin Bolker. Oregon barred Bolker after she allegedly borrowed money from customers, in violation of securities regulations and in violation of her former brokerage firm’s internal policies, NYLife Securities.
Cynthia Bolker was a financial advisor and registered representative of NYLife Securities from 1983 to December 2015. She worked at branch offices in San Diego, California. Bolker was also previously barred by FINRA for this conduct.
Brokerage firms like NYLife Securities 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 Vancouver, Washington; Bellevue, Washington; and Denver, Colorado. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Oregon and California. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Bolker, Cynthia Oregon Order
Click to view: Bolker, Cynthia BrokerCheck 2.24.17
IF YOU LOST MONEY WITH CYNTHIA BOLKER OR NYLIFE SECURITIES, 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.