Michele Fane’s FINRA BrokerCheck shows she currently registered as a stockbroker with the following six firms:
Investors that suffered losses with Michele Fane at any of the firms listed above are encouraged to contact attorney Lawrence L. Klayman, Esq. at 888-997-9956, or firstname.lastname@example.org to discuss recovery options.
According to FINRA BrokerCheck, Michele Fane has one pending investor complaint, filed in October 2022, alleging failure to supervise and investor damages of $2,453,936.28. Fane has one additional public disclosure of a bankruptcy in 2014.
FINRA Rule 3110 (Supervision) requires that brokerage firms establish and maintain supervisory systems to detect and prevent violations of any securities rules and regulations. Written supervisory procedures (“WSPs”) must be established and enforced to supervise the activities of the firm’s registered financial professionals. When a supervisor or manager fails to reasonably supervise another representative under their leadership, that individual may become responsible for failure to supervise.
A failure to supervise complaint generally requires four components:
If you suffered investment losses with Michele Fane and/or any financial professional at Cadaret Grant, you are encouraged to contact Lawrence L. Klayman, Esq. at (888) 997-9956 or email@example.com to discuss recovery options.
KlaymanToskes works on a contingency basis, meaning we do not collect attorney’s fees unless we obtain a financial recovery for you.
KlaymanToskes is a leading national securities law firm which practices exclusively in the field of securities arbitration on behalf of retail and institutional investors throughout the world in large and complex securities matters. The firm has recovered over $250 million in FINRA arbitrations and over $350 million in other securities litigation matters. KlaymanToskes has office locations in California, Florida, New York, and Puerto Rico.