Joan Larsen, formerly of Cetera Investment Services, Barred by FINRA

 

Have you lost money with financial advisor Joan Larsen of Stroudsburg, Pennsylvania?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Joan M. Larsen. FINRA barred Larsen after she failed to respond to an investigation regarding allegations that she borrowed funds from a customer of her brokerage firm, Cetera Investment Services.  It was alleged that Larsen borrowed $50,000 from the customer but has only repaid $3,000.

 

Joan Larsen was a financial advisor and registered representative of Cetera Investment Services from July 2002 to July 2015.  She worked at a branch office in Stroudsburg, Pennsylvania.

 

Brokerage firms like Cetera 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 and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Pennsylvania.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

 

Click to view:  Larsen, Joan FINRA AWC

Click to view:  Larsen, Joan BrokerCheck 2.8.17

 

IF YOU LOST MONEY WITH JOAN LARSEN OR CETERA 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.