Israels & Neuman, PLC Investigates SEAN WESTBROOK, Formerly of FSC Securities

Have you lost money with financial advisor Sean E. Westbrook, formerly of FSC Securities in Pueblo, Colorado?  We are looking into allegations made against Sean Westbrook. Sean Westbrook has been the subject of a customer complaint, where the customer alleges that Westbrook recommended private placements and limited partnerships.

Sean Westbrook was a registered representative of FSC Securities from 2009 to June 2019.  He has also been licensed with Stifel Nicolaus from June 2019 to the present.  He has worked at branch offices in Pueblo, Colorado.

Brokerage firms like FSC Securities 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 in Colorado.  Attorney Aaron Israels is licensed to practice law in Colorado.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view BROKERCHECK:  Westbrook, Sean BrokerCheck 6.8.21

If you lost money with Sean Westbrook or FSC Securities, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.