SOLOMON KRISPEAL FROM NEW YORK, NEW YORK
Have you lost money with financial advisor Solomon Krispeal of New York, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Solomon D. Krispeal. FINRA suspended Krispeal from the securities industry for 30 days and fined him $2,500 for failing to timely and accurately report that he was named as a respondent in a securities arbitration which alleged sales practice violations against him.
Solomon Krispeal was a financial advisor and registered representative of from Aegis Capital Corp. from April 2012 to March 2013; with Legend Securities from March 2013 to February 2016; and with PHX Financial from January 2016 to the present. He worked at branch offices in Hauppage, Jerricho, and New York, New York. Krispeal’s BrokerCheck report discloses that he has seven customer complaints on his record. He also had previously pleaded guilty to petit larceny and “creating a dangerous act” with regards to operation of a motorcycle.
Brokerage firms like Aegis Capital, Legend Securities, and PHX Financial have the 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 New York in the past, including investors from the New York City area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Legend Securities.
Click to view: Krispeal, Solomon FINRA AWC
Click to view: Krispeal, Solomon BrokerCheck 1.8.17
HAVE YOU LOST MONEY WITH SOLOMON KRISPEAL, AEGIS CAPITAL, PHX FINANCIAL, OR LEGEND SECURITIES?
CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION
Aaron Israels: (720) 599-3505
David Neuman: (206) 795-5798
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.