December 17, 2019 Comments Off on Brittney Jade Sias Broker Investigation Blog, Current Investigations, Securities Fraud

Brittney Jade Sias Broker Investigation

Brittney Jade Sias Broker Investigation, featured by Top Securities Fraud Attorneys, The White Law Group

Financial Advisor Brittney Jade Sias, Western International Securities in West Lake Village, CA

Are you concerned about investments with Brittney Sias (aka Rosalie P. Sias) in West Lake Village, CA? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim.

According to public records on FINRA’s website, the regulator reportedly barred Sias from working in the securities industry after she allegedly refused to produce information and documents “in connection with an investigation of her alleged receipt of funds from a customer at her member firm.”

According to her FINRA BrokerCheck report, Sias was reportedly affiliated with Western International Securities in West Lake Village from 2014 until she was reportedly discharged after allegations. She reportedly has one settled customer complaint on her broker report for allegations of “Breach of fiduciary duty; Unsuitable investment recommendations & strategy; Material misrepresentations & omissions.”

Investigating Potential Lawsuits

The White Law Group is investigating potential lawsuits regarding the liability that Sias’ employers may have for failure to properly supervise her.

When brokers violate securities laws, such as making unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration.

Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee.

We represent investors in FINRA arbitration claims in all 50 states, including California. Our attorneys have recovered millions of dollars from many brokerage firms in the past.

If you are concerned about your investments with Brittney Jade Sias, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.

For more information on The White Law Group, and its representation of investors, please visit www.WhiteSecuritiesLaw.com.

 

 

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