Albany, OH
Have you lost money with financial advisor Lisa Stevenson of New Albany, Ohio? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority. FINRA barred Stevenson after she failed to respond to an investigation. FINRA was investigating Stevenson after she was terminated by her former brokerage firm, Huntington Investment Company, regarding a purported $100,000 gift from a customer.
Lisa Marie Stevenson was a financial advisor and registered representative of Huntington Investment Company from March 2016 to December 2020. She worked at branch offices in New Albany, Ohio.
Brokerage firms like Huntington Investment Company 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; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Ohio. Our attorneys have represented over one thousand investors against many brokerage firms in the past.