NEW HYDE PARK, NY
Mayur Dalal, formerly with Kestra Investment Services, Barred from Securities Industry
Have you lost money with financial advisor Mayur Dalal of New Hyde Park, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority. FINRA barred Mayur Dalal after he failed to respond to an investigation. Dalal was being invested regarding allegations that he used engaged in selling private securities without permission from his brokerage firm, Kestra Investment Services.
Mayur Dalal was a financial advisor and registered representative of Kestra Investment Services from June 2016 to February 2020. He worked at branch offices in New Hyde Park, New York.
Brokerage firms like Kestra Investment Services 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; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Kestra Investment Services.