Brooke Haskins— Alleged Failure to Warn a Client of Fraud

Brooke Wearen Haskins Allegedly Failed to Warn a Client of a Potential Financial Fraud & Allegations Include Violations of California Statutes & Codes, & Breach of Fiduciary Duty

Brooke Haskins allegedly failed to warn her client of a potential financial fraud, according to FINRA Reports under review by investor rights attorney Alan Rosca.

Said complaint is final and was filed on November 5, 2018, FINRA states. Allegations also include violations of California statutes and codes, breach of fiduciary duty, and professional negligence, FINRA notes.

The damage amount requested is $1,030,000.00, FINRA reports, and the case is filed in a Santa Cruz Court.

Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to Brooke Haskins’ alleged failure to warn a client of fraud. Investors who believe they may have lost money in activity related to Brooke Haskins’ alleged failure to warn a client are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Brooke Haskins has no other disclosures, according to her FINRA BrokerCheck Report.

Brooke Haskins Has 21 Years in the Securities Industry with 5 Different Firms & Has Been Registered with the Securities America, Inc. in Capitola, California since 2007

Brooke Haskins has worked in the securities industry with 5 different firms for 21 years, and has been registered with Securities America, Inc. in Capitola, California since May 8, 2007, FINRA notes.

Brooke Haskins has also worked at the following firms:

• UBS Securities LLC in San Francisco, California — from April 10, 2003 to March 30, 2007
• Banc of America Securities LLC in New York, New York — from October 2, 2000 to April 4, 2003
• Morgan Stanley & Co., Inc. — from September 9, 1997 to September 29, 2000

Haskins is also registered in 8 different states, FINRA notes.

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.

Securities Lawyer Investigating

The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Brooke Haskins’ alleged failure to warn a client of fraud. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Brooke Haskins’ alleged failure to warn a client of fraud may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

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