It’s a serious matter when an allegation of financial misconduct comes to light. In this case, the allegation is against Joseph Roop, a financial advisor associated with Dempsey Lord Smith, LLC and Coppell Advisory Solutions LLC. The charges leveled against him include negligence, breach of fiduciary duty, breach of contract, misrepresentations, and violations of the Financial Industry Regulatory Authority’s (FINRA) conduct rules. The pending customer dispute, which dates back to June 15, 2023, involves a staggering $49,980.
Unveiling the Allegation
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Let’s break down these allegations for a better understanding. Negligence refers to the failure to provide the standard of care expected in the industry, while a breach of fiduciary duty means the advisor didn’t act in the best interest of the client. Breach of contract implies that the terms of the agreement between the advisor and the client were not honored. Misrepresentations involve providing false or misleading information. Lastly, violations of FINRA’s conduct rules suggest that the advisor didn’t adhere to the ethical and professional standards set by the regulatory body.
Haselkorn & Thibaut, a national investment fraud law firm, has taken up the task of investigating the advisor and the companies he is associated with. The firm, with offices in Florida, New York, North Carolina, Arizona, and Texas, is offering a free consultation to clients who may have been affected.
FINRA Arbitration: A Ray of Hope for Investors
Investors who have suffered losses due to such misconducts can seek recourse through FINRA arbitration. This process helps investors recover their losses by providing a platform to resolve disputes with brokers and brokerage firms.
Haselkorn & Thibaut: Your Ally in Investment Fraud Cases
Haselkorn & Thibaut is a highly experienced firm specializing in investment fraud. With over 50 years of experience, the firm has a remarkable track record of successful financial recoveries for investors. They boast a 98% success rate, making them a reliable ally for investors seeking to recover their losses. They understand the financial and emotional toll such disputes can take on investors, and thus, they offer a “No Recovery, No Fee” policy.
If you or someone you know has been affected by this or similar situations, don’t hesitate to reach out to Haselkorn & Thibaut. You can avail of their free consultation by calling 1-800-856-3352. Remember, you don’t have to face this alone. With the right help, you can navigate through this challenging time and recover your losses.
