TOLEDO, OHIO
Have you lost money with financial advisor James Earl Simpson, formerly with Equitable Advisors in Toledo, Ohio? We are looking into allegations made against James Simpson. Simpson was “permitted to resign” by Equitable Advisors in August 2021. It was alleged that Simpson misappropriated client funds and allegedly sold an unsuitable annuity.
James Simpson was with Equitable Advisors from 1980 to August 2021. He has worked at branch offices in Toledo, Ohio. Simpson was also the subject of two customer complaints.
Brokerage firms like Equitable 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 Ohio. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
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If you lost money with James Simpson or Equitable Advisors, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.