Investigation into Investment Professionals Inc. claims


images (1)Attorney Sean Sweeney with the Securities Lawyers is looking into potential claims regarding Investment Professionals, Inc. According to public records, including a release from the Secretary of the Commonwealth of Massachusetts dated March 23, 2017, Investment Professionals, Inc, a broker dealer based in San Antonio, Texas was fined $100,000 and had to offer restitution to four clients in Massachusetts. It was alleged that Investment Professionals, Inc. was selling unsuitable investments (investments that were inappropriate for the investor, often because they do not match the clients risk tolerance). Secretary Galvin is quote as saying “This case highlights the dangers of aggressive sales culture that leaves older customers exposed to pressure to buy unsuitable investments.”

If you were a client of Investment Professionals, Inc. and lost money in your account, we are interested in discussing a potential claim with you. Brokerage firms like Investment Professional, Inc. have a responsibility to 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. The brokerage firm is not only legally responsible for the acts of its agents, but may also be liable for investment losses sustained by customers for a failure to supervise. Attorney Sweeney and the other Securities Lawyers at Halling & Cayo have recovered millions of dollars for investors across the country.

The market has gained an average of more than 7% returns over the last 5 years and yet some investors, put into overly risking trading strategies, despite promises of guaranteed returns, have lost significant sums. Halling & Cayo S.C. is researching bringing claims on behalf of individual(s) and/or a group of investors for recovery of their funds. Most customers will have signed a FINRA arbitration agreement to resolve disputes, including claims for reimbursement of these types of investment losses. As the SEC reminds investors, it can be important to find an attorney that “specializes in resolving securities complaints.”

If you were a customer of Investment Professionals, Inc. and suffered investment losses, please contact Attorney Sean M. Sweeney at 414-755-5020 or sms@hallingcayo.com. We only get paid if we recover your money . Your claim may be subject to a time limit or statute of limitations, so contact an attorney right away.


Sean M. Sweeney

About Sean M. Sweeney

Attorney Sean M. Sweeney helps individual and institutional investors who have been the victim of Securities Fraud or Stock Broker misconduct recover their funds. Sean also represents stockbrokers for investigations by FINRA and disputes with their employers regarding non-competes, promissory notes, and allegations of breach of contract made by their employers. He is a shareholder at the law firm of Halling & Cayo, S.C. in Milwaukee WI and can be reached at sms@hallingcayo.com or 414-271-3400.

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