Articles Posted in Investment Fraud

Charles Rosenberg, Formerly with Stifel Nicolaus & Company, Subject of Customer Complaints SANTA BARBARA, CALIFORNIA Our investment fraud law firm is looking into allegations made against Charles Rosenberg, who previously worked with Stifel Nicolaus. In 2019, a customer brought a complaint against Stifel Nicolaus & Company, alleging that Charles Rosenberg made unsuitable investment recommendations and…

Advisor Armando Roman, Formerly with Independent Financial Group, and Now with Axiom, Subject of $3.5 Million Customer Complaint SCOTTSDALE, ARIZONA Are you a former client of advisor Armando Roman, formerly with Independent Financial Group and now with Axiom Financial in Scottsdale, Arizona? The investment fraud and securities arbitration law firm of Israels & Neuman is…

Francis Velten, a/k/a Frank Velten, Formerly with Summit Brokerage Services, Subject of FINRA Investigation NEW PORT RICHEY, FLORIDA Are you a former customer of Francis Velten also known as Frank Velten from New Port Richey, Florida? Israels & Neuman is reviewing allegations made about Francis Velten. FINRA (the Financial Industry Regulatory Authority) has brought an…

Richard Duncan from Springfield, Massachusetts, Ordered to Pay Over $500,000 Regarding Turkish Scam LONGMEADOW, MASSACHUSETTS The securities and investment fraud law firm of Israels & Neuman is continuing to look into allegations made against Richard Duncan from Springfield, Massachusetts. In 2019, the Securities and Exchange Commission (SEC) brought a civil action against Richard or “Rick”…

William Campbell, with David Lerner Associates, Subject of Several Customer Complaints WHITE PLAINS, NY The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations made by customers of financial advisor William Campbell, with David Lerner Associates. William Campbell, who worked in an office in White Plains, New York, has…

Matthew Howard Smith, Formerly with Securities America, Subject of FINRA Investigation CLIFTON PARK, NY The investment fraud and securities arbitration law firm of Israels & Neuman is reviewing allegations made about Matthew Howard Smith. FINRA (the Financial Industry Regulatory Authority) has brought an investigation into Matthew Smith. According to FINRA’s BrokerCheck, he has failed to…

Another Former Aegis Capital Corp. Advisor, Scott Hananel, Handed Lengthy Suspension by FINRA MELVILLE, NY Have you lost money investing with financial advisors at Aegis Capital Corp.? The investment fraud and securities arbitration law firm of Israels & Neuman is continuing to look into allegations made by FINRA (the Financial Industry Regulatory Authority) against financial…

John Orlando, Formerly with Westpark Capital and now with SW Financial, Under Investigation by FINRA FORT LAUDERDALE, FL The investment fraud and securities arbitration law firm of Israels & Neuman is continuing to look into allegations made against financial advisor John Orlando, formerly with Westpark Capital and now with SW Financial in Fort Lauderdale, Florida.…

Dennis Riordan, with Wynston Hill Capital, Suspended Indefinitely by FINRA BRONX, NY Have you suffered investment losses because of recommendations made by Dennis Riordan? The Law Firm of Israels & Neuman is a securities arbitration law firm looking into allegations made against the Wynston Hill Capital financial advisor from Bronx, New York. In 2021, Riordan…

Justin Deiter, with Spartan Capital Securities, Subject of Five Customer Complaints MELVILLE, NY Have you invested and lost money with Justin Deiter, a financial advisor who previously worked with Aegis Capital Corp. and Allied Millennial Partners? The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations made by former…