Investigation of Robert Schultz and Key Investment Services, LLC

Have you lost money with financial advisor Robert Schultz of Bellingham, Washington?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Robert W. Schultz. FINRA barred Schultz from the securities industry after he failed to disclose a theft conviction.

FINRA alleged that Robert Schultz managed a pension fund in the Cayman Islands.  He was convicted of stealing $300,000 from the pension and served two years in prison there.  Upon his return to this United States, he became affiliated with Key Investment Services’ Bellingham, Washington office, but failed to disclose his previous theft conviction.

Robert Schultz was a financial advisor and registered representative of Key Investment Services from December 2014 to September 2015.  He worked at a branch office in Bellingham, Washington.

Brokerage firms like Key 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 in Washington. 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 James, ProEquities, Securities America, National Securities Corp., and many others.

Click to view:  Schultz FINRA AWC

Click to view:  Schultz BrokerCheck 4.13.16

HAVE YOU LOST MONEY WITH ROBERT SCHULTZ OR KEY INVESTMENT SERVICES?   

             CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION

                Denver Office: (720) 599-3505

                Seattle Office: (206) 795-5798