Gerald Brodsky, previously with Dinosaur Financial Group, Barred by FINRA

Have you lost money with financial advisor Gerald Brodsky?  We are investigating allegations made about Gerald Lee Brodsky from New York, New York.  FINRA (the Financial Industry Regulatory Authority) barred Brodsky from the securities industry after Brodsky failed to fully respond to its investigation.   FINRA was investigating Brodsky regarding its review of Brodsky’s outside business activities.

According to BrokerCheck, Gerald Brodsky was a financial advisor and registered representative of Dinosaur Financial Group from December 2014 to October 2016.  He worked in a branch office in New York, New York.  He also was affiliated with the Concorde Group.

Brokerage firms like Dinosaur Financial Group 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; Seattle, Washington; and Phoenix, Arizona.  We represent investors in FINRA arbitration proceedings in all 50 states, including New York.  Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past.

All of our cases are taken on a contingent fee basis, meaning you don’t pay us unless we successfully recover money for you!

Click to view:  Brodsky, Gerald FINRA AWC

Click to view:  Brodsky, Gerald BrokerCheck 9.3.19

If you lost money with Gerald Brodsky or Dinosaur Financial Group, please Contact Us at 720-599-3505 for a free evaluation of your case.