RONALD SIEMON, FORMERLY OF LPL FINANCIAL, BARRED BY FINRA
Have you lost money with financial advisor Ronald Siemon of Albuquerque, New Mexico? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Ronald E. Siemon. FINRA barred Siemon after he failed to respond to an investigation regarding an arbitration claim that was filed against him.
Ronald Siemon was a financial advisor and registered representative of LPL Financial from 2007 to December 2016. He worked at a branch office in Albuquerque, New Mexico. Siemon has been the subject of two customer complaints.
Brokerage firms like LPL Financial 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 in New Mexico, as well as investors from the Albuquerque area. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Siemon, Ronald FINRA AWC
Click to view: Siemon, Ronald BrokerCheck 1.18.17
HAVE YOU LOST MONEY WITH RONALD SIEMON OR LPL FINANCIAL?
CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION
Aaron Israels: (720) 599-3505
David Neuman: (206) 795-5798
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.