Investigation of Sharon Fall, LPL Financial, and International Assets Advisory

Have you lost money with financial advisor Sharon Fall of Annapolis, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Sharon Fall. FINRA barred Fall from the securities industry after she failed to respond to a FINRA investigation.  FINRA was investigating Fall regarding allegations that she borrowed money from clients, in violation of FINRA rules and the internal policies of her brokerage firm, LPL Financial.

Sharon Fall was a financial advisor and registered representative of LPL Financial from October 2007 to July 2015.  She was also affiliated with International Assets Advisory from August 2015 to February 2016.  She worked at branch offices in Annapolis and Clarksville, Maryland.  Fall was allegedly terminated from LPL after it found that she borrowed money from customers, in violation of its internal policies.  International Assets Advisory terminated Fall in February 2016 after it learned that Fall was communicating with clients while her registration with the State of Maryland was pending.

Brokerage firms like LPL Financial and International Assets Advisory 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 followall 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 Maryland. 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:  Fall FINRA AWC

Click to view:  Fall BrokerCheck 3.21.16

HAVE YOU LOST MONEY WITH SHARON FALL OR LPL FINANCIAL?   

             CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION

                Denver Office: (720) 599-3505

                Seattle Office: (206) 795-5798