Brian M. Berger, Wells Fargo Advisors, and MetLife Securities
Have you lost money with financial advisor Brian Michael Berger of Fort Lauderdale, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Brian Berger. Brian Berger was barred from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Berger for allegations that he misappropriated or stole customer funds from elderly customers.
Brian Berger was a financial advisor and registered representative of Newbridge Securities Corp. from April 2015 to June 2015. He was also a representative of MetLife Securities from July 2014 to April 2015, and with Wells Fargo Advisors from July 2010 to July 2014.
Brokerage firms like Wells Fargo Advisors and MetLife 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 Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond Brian, ProEquities, Securities America, National Securities Corp., and many others.
If you lost money with Brian M. Berger, Wells Fargo Advisors, or MetLife Securities, please Contact Us at 720-599-3505 for a free evaluation of your case.
Click to view: Berger FINRA AWC
Click to view: Berger BrokerCheck 7.24.15