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JEFFREY FURNISS of Lincoln Financial Subject of COMPLAINTS

Israels & Neuman, PLC — Wed, 29 May 2024 15:51:57 GMT

Jeffrey Furniss, with Lincoln Financial Advisors, Subject of Several Complaints

ANNAPOLIS, MARYLAND Did you invest in oil and gas with Jeffrey Furniss from Annapolis, Maryland? Our firm is reviewing allegations made by several customers who filed claims against his brokerage firm, Lincoln Financial Advisors.

According to FINRA’s BrokerCheck, Mr. Furniss has been the subject of five customer complaints, two of which are still pending. The pending complaint alleges that he sold unsuitable oil and gas investments, which allegedly lost a combined $175,000. The complaint was part of a class action lawsuit. Two other complaints involving oil and gas investments from 2022 have already been settled.

Since 2005, Jeffrey Furniss has worked in an Annapolis, Maryland office for Lincoln Financial Advisors. He also operates Charter Financial Group in Annapolis.

Under FINRA Rules, Furniss must make investment recommendations that are suitable for the customer. Brokerage firms must perform due diligence on all investment products it sells. If it failed to adequately perform due diligence, Lincoln Financial Advisors could be liable for investor losses.

BrokerCheck report can be seen HERE

If you lost money with Jeffrey Furniss or Lincoln Financial Advisors, please Contact Us at 206-795-5798 for a free evaluation of your case.

PAUL MEANEY of Lincoln Financial Subject of COMPLAINTS

Israels & Neuman, PLC — Mon, 13 May 2024 21:10:53 GMT

Customers of Paul Meaney Complain About Oil and Gas Investments

WALTHAM, MASSACHUSETTS The securities and investment fraud law firm of Israels & Neuman is looking into complaints made by several former customers who filed claims against Paul Meaney, while at Lincoln Financial Advisors. Lincoln Financial has faced five customer complaints regarding recommendations made by Mr. Meaney, three of which were filed in FINRA arbitration.

Three out of the five complaints involved oil and gas investments. The most recent complaint alleges a $75,000 loss in an oil and gas investment called Atlas.

From 2007 to the present, Paul Meaney worked at Lincoln Financial Advisors in Waltham, Massachusetts.

Alternative investments like oil and gas investments can carry significant risks. Moreover, if the investment is a private placement, the investor must be qualified or accredited to invest.

BrokerCheck report can be seen HERE

If you lost money with Paul Meaney or Lincoln Financial Advisors, please Contact Us at 206-795-5798 for a free evaluation of your case.

JOHN BUSSA of Lincoln Financial Subject of Multiple COMPLAINTS

Israels & Neuman, PLC — Mon, 13 May 2024 18:41:56 GMT

John Bussa, with Lincoln Financial Advisors, Subject of Several Complaints

SOUTHFIELD, MICHIGAN Have you invested with John Bussa from Southfield, Michigan? Our firm is reviewing allegations made by several customers who have filed claims against his brokerage firm, Lincoln Financial Advisors.

Bussa has been the subject of eight customer complaints, two of which are still pending. The most recent complaint alleges that he sold an unsuitable oil and gas investment. The oil and gas investment allegedly lost $100,000. Another pending complaint involves the sale of a REIT – a real estate investment trust.

John Bussa has worked in a Southfield, Michigan office for Lincoln Financial Advisors since 2001. Bussa also operates JMB & Associates in Southfield.

Investment advisors are required to make investment recommendations that are suitable for the customer, under FINRA Rule 2111. Brokerage firms must perform due diligence on all investment products it sells. If it failed to adequately perform due diligence, they could be liable for investor losses.

BrokerCheck report can be seen HERE

If you lost money with John Bussa or Lincoln Financial Advisors, please Contact Us at 206-795-5798 for a free evaluation of your case.

Complaints Against MATTHEW STUCKE of Cambridge Investment

Israels & Neuman, PLC — Tue, 12 Mar 2024 15:27:40 GMT

Matthew Stucke, Formerly with Cambridge Investment Research, Subject of Several Complaints

MILTON, GEORGIA Have you invested with Matthew Stucke from Milton, Georgia? The investment fraud and securities arbitration law firm of Israels & Neuman is investigating claims made by former customers of this financial advisor.

According to FINRA, Stucke was a registered representative of Cambridge Investment Research from May 2020 to November 2022. He has been the subject of four customer complaints. The complaints allege investment losses in common and preferred stocks. Matthew Stucke has also been affiliated with Cetera Advisor Networks, Raymond James, and J.P. Morgan Securities.

Our law firm represents investors throughout the country, including investors in Georgia. We have represented investors against numerous brokerage firms and have recovered millions of dollars for our clients.

If you lost money with Matthew Stucke or Cambridge Investment Research, please Contact Us at 206-795-5798 for a free evaluation of your case.

View BrokerCheck report HERE.

ANDREW SCHELL of DA Davidson 19 Customer COMPLAINTS

Israels & Neuman, PLC — Wed, 01 Nov 2023 21:34:11 GMT

Andrew Schell with D.A. Davidson Subject of 19 Complaints

COLORADO SPRINGS, COLORADO

Did you invest with Andrew Schell from Colorado Springs, Colorado? Our investment fraud law firm is reviewing allegations made by clients of Andrew Schell, formerly with D.A. Davidson.

Mr. Schell had been a financial advisor of D.A. Davidson from January 2020 to March 2022 in Colorado Springs, Colorado. He has been the subject of 19 customer complaints since January 2022, many of which allege that he made unsuitable investments in stocks and options. Nearly all of the cases have settled, but a July 2023 complaint is still pending.

Stockbrokers are subject to the rules of FINRA, the Financial Industry Regulatory Authority. One of these rules is FINRA Rule 2111, which provides that financial advisors make suitable investment recommendations to customers. The brokerage firm and/or advisor can be liable if Rule 2111 is violated.

Our law firm represents investors throughout the country, including investors in Colorado. Attorney Aaron Israels has an office in Denver and is licensed to practice law in Colorado.

VIEW BROKERCHECK REPORT HERE

If you lost money with Andrew Schell or D.A. Davidson, please Contact Us at 720-599-3505 for a free evaluation of your case.

SCOTT ROSLONOWSKI of Ameriprise Subject of COMPLAINTS

Israels & Neuman, PLC — Tue, 31 Oct 2023 20:58:31 GMT

Scott Roslonowski with Ameriprise Financial Services Subject of Complaints

INDIAN HARBOUR BEACH, FLORIDA

Have you invested in REITs through Scott Roslonowski at Ameriprise Financial Services in Harbour Beach, Florida? He has been with Ameriprise Financial Services since October 2009.

Scott Roslonowski has been the subject of two customer complaints during 2023 – one made in March 2023, and the other made in July 2023. Both complaints allege that he recommended unsuitable investments in real estate investments, and both also complain about variable annuities and insurance. The complaints are still pending with FINRA.

Scott Roslonowski worked in Indian Harbour Beach, Florida and has been in the securities industry since 2004. He is also registered as an investment advisory representative for Ameriprise.

VIEW BROKERCHECK REPORT HERE.

If you lost money with Scott Roslonowski, Ameriprise Financial Services, or in real estate investments, please Contact Us at (206) 795-5798 for a free evaluation of your case.

Complaints Against LEO CHIEN of Cetera Investment Services

Israels & Neuman, PLC — Tue, 17 Oct 2023 15:26:59 GMT

Leo Chien, with Cetera Investment Services, Subject of Several Complaints

SAN GABRIEL, CALIFORNIA

Have you invested with Leo Chien from San Gabriel, California? Our securities arbitration law firm is reviewing claims made by former clients of Leo Li-Yuan Chien, with Cetera Investment Services.

Mr. Chien has been a registered representative of Cetera Investment Services since 2012 in San Gabriel, California. He has been the subject of five customer complaints, four of which have been made since 2021. Each of these recent complaints allege that he recommended unsuitable investments in non-traded REITs, or real estate investment trusts. Three of these cases settled for a combined $345,000, while the fourth case is still pending.

Licensed stockbrokers like Leo Li-Yuan Chien are subject to the rules of FINRA. FINRA Rule 2111 provides that financial advisors make suitable investment recommendations to customers. The brokerage firm and/or advisor can be liable if FINRA Rule 2111 is violated.

Our law firm represents investors throughout the country, including investors in California. We also have previously represented investors against Cetera Investment Services.

VIEW BROKERCHECK REPORT HERE.

If you lost money with Leo Chien or Cetera Investment Services, please Contact Us at 206-795-5798 for a free evaluation of your case.

ROBERT DECHICK of DH Hill Securities Subject of COMPLAINTS

Israels & Neuman, PLC — Wed, 11 Oct 2023 16:15:28 GMT

Robert Dechick with DH Hill Securities Subject of Complaints

CLERMONT, FLORIDA

Have you invested in REITs through DH Hill Securities? Our securities arbitration law firm is looking into claims made against advisor, Robert Dechick of Clermont, Florida.

Mr. Dechick has been the subject of five customer complaints since 2020, including two complaints that were made since July 2023. The two recent complaints both allege that he recommended unsuitable investments in real estate investments, and one of the two complaints also complains about an equipment leasing investment. Both complaints are still pending.

According to FINRA’s BrokerCheck, Dechick has worked in Clermont, Florida and has been in the securities industry since 2000. He is also affiliated with the investment advisory firm, DH Hill Advisors.

VIEW BROKERCHECK REPORT HERE.

If you lost money with Robert Dechick, DH Hill Securities, or in real estate investments, please Contact Us at (206) 795-5798 for a free evaluation of your case.

YONG CHANG of Independent Financial Subject of COMPLAINTS

Israels & Neuman, PLC — Mon, 09 Oct 2023 19:12:10 GMT

Yong Chang with Independent Financial Group Subject of Two Complaints

SEATTLE, WASHINGTON

Have you invested with Yong Chang from Seattle, Washington? Our securities arbitration law firm is reviewing claims made by clients of Yong Seok Chang, with Independent Financial Group.

Chang has been a representative of Independent Financial Group since 2008 in Seattle, Washington, as well as a company called U&T Financial. He has been the subject of two customer complaints since November 2021, both of which allege that Chang recommended unsuitable investments in non-traded REITs, or real estate investment trusts.

Financial advisors are subject to the rules of FINRA, the Financial Industry Regulatory Authority. One of these rules is FINRA Rule 2111, which provides that financial advisors make suitable investment recommendations to customers. The brokerage firm and/or advisor can be liable if Rule 2111 is violated.

Our law firm represents investors throughout the country, including investors in Washington. Attorney David Neuman has an office in Seattle and is licensed to practice law in Washington.

VIEW BROKERCHECK REPORT HERE

If you lost money with Yong Chang or Independent Financial Group, please Contact Us at 206-795-5798 for a free evaluation of your case.

COMPLAINTS Against CHRISTOPHER CAVALLARO of Lincoln Financial

Israels & Neuman, PLC — Thu, 28 Sep 2023 19:48:19 GMT

Christopher Cavallaro, Formerly with Lincoln Financial Advisors, Subject of Customer Complaints

FALMOUTH, MASSACHUSETTS

Have you invested with Christopher Cavallaro from Falmouth, Massachusetts? The securities and investment fraud law firm of Israels & Neuman is looking into complaints made by several former customers who have filed claims against Christopher Cavallaro’s former brokerage firm, Lincoln Financial Advisors. Since April 2022, Lincoln Financial Advisors has faced five customer complaints, all alleging that their advisor sold them an unsuitable oil and gas investment. The oil and gas investment allegedly lost money, which led to the customers filing these complaints in FINRA arbitration.

From 2003 to October 2016, Christopher Cavallaro worked in a Falmouth, Massachusetts office for Lincoln Financial Advisors. He has been with LPL Financial since October 2016. He also operated Integrated Wealth Concepts.

Brokerage firms must perform due diligence on all investment products it sells. If they to adequately perform due diligence, the brokerage firms could be liable for investor losses.

VIEW BROKER CHECK REPORT HERE

If you lost money with Christopher Cavallaro or Lincoln Financial Advisors, please Contact Us at 206-795-5798 for a free evaluation of your case.

COMPLAINT Against JOSEPH HURLEY of Cambridge Investment

Israels & Neuman, PLC — Sun, 09 Jul 2023 19:08:46 GMT

Joseph Hurley, with Cambridge Investment Research, Subject of Customer Complaint

BATTLE GROUND, WASHINGTON

Have you invested with Joseph Hurley from Battle Ground, Washington? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made by a customer who filed a claim against Joseph Hurley’s brokerage firm, Cambridge Investment Research. In May 2023, a customer alleged that he recommended an unsuitable oil and gas investment. The oil and gas investment allegedly lost money, which led to the customer filing a complaint in FINRA arbitration.

From April 2010 to the present, Joseph Hurley has worked in a Battle Ground, Washington office for Cambridge Investment Research. He also operated Gateway NW Wealth Advisors. According to BrokerCheck, Hurley had a $100,000 tax bill owed to the IRS, which was settled by paying $15,296. Hurley was also the subject of a 2008 complaint that was denied.

In 2017, another Cambridge Investment Research advisor, Gary Meier, was in trouble with the Washington Department of Financial Institutions. In November 2017, Meier entered into a consent order with the Washington DFI in which Meier’s investment adviser representative registration was withdrawn in lieu of revocation.

Our law firm has an office in Vancouver, Washington, and attorney David Neuman is licensed to practice law in Washington. We also have previously represented investors against Cambridge Investment Research.

View Hurley, j BrokerCheck 7.8.23

If you lost money with Joseph Hurley or Cambridge Investment Research, please Contact Us at 206-795-5798 for a free evaluation of your case.

Complaints Against SIMON JOSEPH of Truist Investment Services

Israels & Neuman, PLC — Tue, 27 Jun 2023 16:02:36 GMT

Former Truist Investment Services Advisor Simon Joseph Subject of Recent Complaint

ALEXANDRIA, VIRGINIA

Are you a current or former client of financial advisor Simon Joseph from Alexandria, Virginia? Israels & Neuman is reviewing claims made against by former customers of Simon Joseph, who worked with Truist Investment Services from February 2021 to March 2022 and with BB&T Securities from 2016 to February 2021.

According to his BrokerCheck report, a customer complaint was filed in FINRA arbitration in April 2023. The complaint alleges that he engaged in unsuitable investment recommendations and misrepresentations in a managed account. The customer alleged losses over $250,000.

Simon Michel Joseph worked in an Alexandria, Virginia office. He is now affiliated with Momentum Independent Network. He was fired by Morgan Stanley in August 2016 regarding allegations of exercising discretion in customer accounts without written authorization to do so. He was also allowed to voluntarily resign by Truist Investment Services.

Securities broker-dealers must reasonably supervise their advisors. If the firms fail to do so, they could be liable for investment losses.

Our law firm has recovered millions of dollars for investors in FINRA arbitrations. We represent investors throughout the country, including investors in Virginia.

View Joseph, s BrokerCheck 6.27.23

If you lost money with Simon Joseph or Truist Investment Services, please Contact Us at 206-795-5798 for a free evaluation of your case.

COMPLAINTS Against ALVERY BARTLETT of Berthel Fisher

Israels & Neuman, PLC — Sun, 09 Apr 2023 13:39:31 GMT

Alvery Bartlett, Formerly with Berthel Fisher, Subject of Six Complaints

ST. LOUIS, MISSOURI Did you have investments with financial advisor Alvery Bartlett, who had been an advisor with Berthel Fisher in St. Louis, Missouri? The securities and investment fraud law firm of Israels & Neuman is examining allegations made by customers of Alvery A. Bartlett, Jr.

Mr. Alvery Bartlett had been a representative of Berthel Fisher from 1992 to August 2016, and was later affiliated with Arete Wealth Management and Aegis Capital. He also runs Alvery Bartlett Fund Management Company.

Bartlett has been the subject of six customer complaints, one of which was filed in February 2023. The most recent complaint, filed in Linn County, Iowa, alleges that Bartlett misrepresented risks of oil and gas investments, real estate securities, promissory notes, and private placements. The alleged financial losses were $10 million.

Since he was a licensed financial advisor, Bartlett must follow FINRA rules, including FINRA’s suitability rule, Rule 2111. Brokerage firms also are required to adequately supervise the conduct of their advisors. Violations of these rules can lead to financial liability for the broker or firm.

Our securities law firm represent investors in FINRA arbitration proceedings all over the country, including in Missouri and Iowa. Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past, including against Berthel Fisher.

View Bartlett, a BrokerCheck 4.8.23

If you lost money with Alvery Bartlett or Berthel Fisher, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

STEVEN MUNTIN of Taylor & Morgan Charged with FRAUD

Israels & Neuman, PLC — Wed, 10 Nov 2021 17:48:54 GMT

FLINT, MICHIGAN

Have you lost money with financial advisor Steven Muntin from Flint, Michigan? We are looking into allegations against Steven Muntin by the SEC. Muntin was civilly charged with defrauding an investor. Muntin used his company Executive Asset Management to charge a customer over $300,000 but never actually invested the money. Instead, the money was used on his mortgage, health insurance, boat and car loans, and credit card bills.

Steven Muntin was with Taylor & Morgan Asset Management from December 2015 to February 2020. He worked out of a branch office in Flint, Michigan. Muntin has also been the subject of at least two customer complaints and six tax liens.

Advisory firms like Taylor & Morgan Asset Management have a responsibility to adequately supervise all representatives who are registered through their firm. Advisory firms also must take steps to ensure that their advisors follow all securities rules and regulations. When advisory firms fail to adequately supervise their representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Ann Arbor, Michigan; Denver, Colorado; Seattle, Washington; and Phoenix, Arizona. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Michigan. Attorney Aaron Israels grew up in Michigan, is licensed to practice law in Michigan, and previously practiced in the Detroit area. Our attorneys have represented over one thousand investors against many brokerage and advisory firms in the past.

View S. Muntin BrokerCheck Report

If you have lost money with Steven Muntin or Taylor & Morgan Asset Management, and want to hear about ALL legal options, CONTACT ISRAELS & NEUMAN LAW at 720-599-3505.

ROBERT WOLFE of Cetera Accused of Unsuitable REIT Investments

Israels & Neuman, PLC — Mon, 11 Oct 2021 17:45:00 GMT

FORT LAUDERLDALE, FLORIDA Have you lost money with financial advisor Robert Wolfe, formerly with Cetera Advisor Networks and Girard Securities in Fort Lauderdale, Florida? We are looking into allegations made against Robert B. Wolfe. Wolfe has been the subject of five customer complaints, all of which were made within the last year-and-a-half. The complaint alleges losses in real estate investments like REITs (real estate investment trusts) and private placements.

Robert Wolfe was with Cetera Advisor Networks from November 2017 to June 2020. He was also with Girard Securities from 2009 to November 2017 and with Goldman Sachs from July 2020 to the present. He has worked at branch offices in Fort Lauderdale, Florida.

Brokerage firms like Cetera Advisor Networks have a responsibility to adequately 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. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view Wolfe BrokerCheck Report

If you lost money with Robert Wolfe, Cetera Advisor Networks, or Girard Securities, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

JEFFREY DAMPF of PFS Investments Accused of Stealing Money

Israels & Neuman, PLC — Wed, 06 Oct 2021 19:04:45 GMT

TOTOWA, NEW JERSEY Have you lost money with financial advisor Jeffrey Dampf, formerly with PFS Investments in Totowa, New Jersey? We are looking into allegations made against Jeffrey Dampf. Dampf was barred from the securities industry after he failed to respond to a FINRA investigation. Jeffrey Dampf was being investigated after it was alleged that Dampf may have been charged with felonies related to taking money from the elderly.

Jeffrey Dampf was with PFS Investments (Primerica) from 2009 to September 2021. He has worked at branch offices in Totowa, New Jersey.

Brokerage firms like PFS Investments have a responsibility to adequately 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. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New Jersey. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against PFS Investments (Primerica).

View J. Dampf BrokerCheck Report

If you lost money with Jeffrey Dampf or PFS Investments, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

Investigation of JOSHUA HELMLE of Integrity Brokerage

Israels & Neuman, PLC — Wed, 06 Oct 2021 17:35:33 GMT

MONTEREY PARK, CALIFORNIA Have you lost money with financial advisor Joshua Helmle, formerly with Integrity Brokerage Services in Monterey Park, California? We are looking into allegations made against Joshua Helmle. Helmle has been the subject of two customer complaints, one of which was made within the last year. The complaint alleges losses in private placements and limited partnerships.

Joshua Helmle was with Integrity Brokerage Services from 2002 to December 2020. He has worked at branch offices in Monterey Park, California. Helmle was also terminated by Integrity Brokerage Services and he was also barred by FINRA in 2020.

Brokerage firms like Integrity Brokerage Services have a responsibility to adequately 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. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view Helmle BrokerCheck Report

If you lost money with Joshua Helmle or Integrity Brokerage Services, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

Complaints Against ALBERTO VALDES of Raymond James

Israels & Neuman, PLC — Tue, 05 Oct 2021 19:04:23 GMT

MIAMI, FLORIDA Have you lost money with financial advisor Alberto Valdes, formerly with Raymond James Financial and now with Citigroup in Miami, Florida? We are looking into allegations made against Alberto Valdes. Valdes has been the subject of two customer complaints, one of which was made within the last year. One of the complaints alleges an unsuitable investment in an offshore product called Northstar, whose issuer is under liquidation order.

Alberto Valdes was with Raymond James Financial from July 2016 to January 2018. He has been with Citigroup from January 2018 to the present. He has worked at branch offices in Miami, Florida.

Brokerage firms like Raymond James Financial have a responsibility to adequately 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. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Raymond James Financial.

View A. Valdes BrokerCheck Report

If you lost money with Alberto Valdes or Raymond James Financial, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

DEBORAH HERRMANN of Transamerica Financial BARRED

Israels & Neuman, PLC — Tue, 05 Oct 2021 18:58:23 GMT

WHEATON, ILLINOIS Have you lost money with financial advisor Deborah L. Herrmann, formerly with Transamerica Financial Advisors in Wheaton, Illinois? We are looking into allegations made against Deborah Herrmann. Herrmann was barred from the securities industry after she failed to respond to a FINRA investigation. Deborah Herrmann was being investigated after she failed to disclose that she was named as a party in civil litigation. It was alleged that Herrmann sold investment notes without disclosing such to her brokerage firm, Transamerica Financial Advisors.

Deborah Herrmann (formerly Deborah Gniech) was with Transamerica Financial Advisors from February 2018 to April 2021. Herrmann was also previously with Farmers Financial Solutions. She has worked at branch offices in Wheaton, Illinois.

Brokerage firms like Transamerica Financial Advisors have a responsibility to adequately 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. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Illinois. Attorney David Neuman grew up in DuPage County and is licensed to practice law in Illinois. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Transamerica Financial Advisors.

Click here to view D. Herrmann BrokerCheck Report

If you lost money with Deborah Herrmann or Transamerica Financial Advisors, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

Complaints Against LANNY HOWARTER of Crown Capital

Israels & Neuman, PLC — Tue, 05 Oct 2021 18:51:54 GMT

SAN DIEGO, CALIFORNIA Have you lost money with financial advisor Lanny Howarter, with Crown Capital Securities in San Diego, California? We are looking into allegations made against Lanny Howarter. Howarter has been the subject of seven customer complaints, three of which were made within the last year. Many of the complaints allege unsuitable investments in REITs (real estate investment trusts), BDCs (business development companies), and private placements.

Lanny Howarter has been with Crown Capital Securities from March 2009 to the present. He has worked at branch offices in San Diego, California.

Brokerage firms like Crown Capital Securities have a responsibility to adequately 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. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Crown Capital Securities.

Click here to view Howarter BrokerCheck Report

If you lost money with Lanny Howarter or Crown Capital Securities, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.