If you lost money in Serene Lake Capital with advisor Li Li in Issaquah, Washington, contact Israels & Neuman at 720-599-3505. You may have legal options to recover your losses. What Did Washington Allege? The Washington Division of Securities alleged that Klahanie Investment and Li managed a private fund called Serene Lake Capital. Washington further…
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If you lost money with Gustave Schmidt of Investment Network in Smithtown, New York, contact Israels & Neuman at 720-599-3505. FINRA’s Allegations Regarding Schmidt FINRA initiated its investigation into Gustave Schmidt regarding his involvement with StraightPath Venture Partners, LLC. He allegedly recommended that his customer invest in StraightPath Venture Partners for the purpose of investing…
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The investment fraud law firm is looking into allegations involving Stephen M. Franko. Contact us at 720-599-3505 if you feel you suffered losses. Allegations Regarding the Suspension FINRA bought an administrative complaint against Stephen M. Franko and Thomas Scheiman (both of whom worked at Independence Capital Co. in Mount Vernon, Ohio) regarding their sales…
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Allegations Against David Franklin FINRA alleged that it has opened an investigation into David K. Franklin of New York, NY after he was criminally charged with “Conspiracy to Commit Health Care Fraud” and “Conspiracy to Commit Money Laundering” in May 2025. FINRA then alleged that Franklin refused to cooperate with their investigation. The investment fraud…
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Israels & Neuman law firm is looking into allegations involving William Tunink also known as “Bill” Tunink, who was a representative with LPL Financial and worked in a West Des Moines, Iowa office. Mr. Tunink’s registration was terminated by LPL Financial in September of 2025. Allegations Against William Tunink According to FINRA’s BrokerCheck, LPL Financial…
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Israels & Neuman is reviewing claims against Marshall Lum, who formerly was a representative with LPL Financial in Honolulu, Hawaii. LPL Financial terminated Marshall Lum in September 2025. Allegations Regarding the Termination Lum was fired by LPL Financial regarding allegations that he “Accepted instructions and orders for a custodial account without proper authorization; used unapproved…
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Did you lose money with Jason Hawke or D.H. Hill Securities? The securities arbitration law firm of Israels & Neuman is looking into allegations involving Jason Hawke, who was terminated by D.H. Hill Securities in August 2025. Allegations Regarding the Discharge of Jason Hawke FINRA’s BrokerCheck discloses that Jason Hawke was fired by D.H. Hill…
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Did you invest with Ruben Frezzotti, formerly at Raymond James? We are looking into claims involving Ruben Frezzotti, who formerly was a representative of Raymond James and worked in a Coral Gables, Florida office. In September 2023, Frezzotti was fired by Raymond James. Raymond James’ Allegations Regarding Firing Ruben Frezzotti Information on Frezzotti’s termination is…
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