Norman Farra, formerly of International Assets Advisory, Barred from Securities Industry
Have you lost money with financial advisor Norman Farra of Tampa, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Norman Kirby Farra, Jr. FINRA barred Farra from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Farra for allegations that he engaged in outside business activities and private securities transactions without authorization from his brokerage firm, International Assets Advisory.
Norman Farra was a financial advisor and registered representative of International Assets Advisory from April 2015 to November 2016. He was also affiliated with Merriman Capital from November 2012 to April 2015. He worked at a branch office in Tampa, Florida. He was also affiliated with Rockport Global Advisors.
Brokerage firms like 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 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 Florida and throughout the Tampa Bay area. 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 International Assets Advisory.
Click to view: Farra, Norman FINRA AWC
Click to view: Farra, Norman BrokerCheck 3.26.17
If you lost money with Norman Farra or International Assets Advisory, please CONTACT US at (720) 599-3505 for a free evaluation of your case.
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.