ROCKWALL, TEXAS
George Warner, formerly with Chelsea Financial Services, Barred from Securities Industry
Have you lost money with financial advisor George Warner of Rockwall, Texas? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority. FINRA barred George Warner after he failed to respond to an investigation. Warner was being invested regarding allegations that he used engaged in selling private securities without permission from his brokerage firm, Chelsea Financial Services.
George Warner was a financial advisor and registered representative of Chelsea Financial Services from September 2017 to October 2019. He worked at branch offices in Rockwall, Texas. Warner was also discharged from two prior firms. Warner operates Summit Rockwall Wealth Management.
Brokerage firms like Chelsea Financial 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 Texas. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Chelsea Financial Services.