The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Lisa Miyo Broughton (CRD#2595215 ) regarding allegations made regarding the following:
Claim(s) Made Against Lisa Miyo Broughton:
Claim Date: 3/13/2024
“Beneficiary of PFSI customer account filed small claims lawsuit against RR that alleges RR embezzled $1800 and negligently cause $20k in investment loses.”
This claim, as of this posting, is currently Pending with a claim amount of $10,000.00 .
See more information on FINRA’s BrokerCheck site for Lisa Miyo Broughton .
Were you a customer of Lisa Miyo Broughton?
The investment recovery lawyers at Halling & Cayo S.C. bring claims on behalf of individual investors or groups of investors who have lost funds. Most of these customers have signed FINRA arbitration agreements that outline the process for resolving disputes, including claims for investment loss recovery. (See our discussion of FINRA in our video, Is FINRA a good thing? .) As the SEC advises, it is important to find an attorney who has experience handling securities complaints. If you were a customer of Lisa Miyo Broughton and PFS INVESTMENTS INC. and experienced investment losses, please get in touch with the Securities Lawyers . We only receive payment if we can recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to contact an attorney as soon as possible.
If you were a client of Lisa Miyo Broughton and PFS INVESTMENTS INC. from PENACOOK, NH and had lost money in your account that does not seem right, we are interested in discussing the possibility of pursuing a claim on your behalf. (The value of having a lawyer look at your claim is discussed more thoroughly in our video, Do I need a lawyer for my FINRA arbitration? .) Brokerage firms are responsible for overseeing the actions of their registered representatives and must ensure that their financial advisors comply with all relevant regulations and company policies. The brokerage firm may be held liable for any investment losses suffered by customers due to their failure to properly supervise their agents, such as Lisa Miyo Broughton. The Securities Lawyers at Halling & Cayo, S.C. have helped investors recover millions of dollars in the past.
Contact The Securities Lawyers
Sean M. Sweeney is a shareholder at Halling and Cayo , a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.
He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.
Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.
