BEVERLY HILLS, CALIFORNIA Did you invest with financial advisor Robert Daly in Beverly Hills, California? Our securities arbitration law firm is looking into claims made against this advisor, who was previously registered with Morgan Stanley from February 2016 to March 2023. He was expelled from the securities brokerage industry by FINRA after he refused to cooperate with a FINRA investigation.

Robert Daly was the subject of two customer complaints made in July and September 2024. FINRA also received a tip related to a possible undisclosed private securities transaction, which means that he may have sold investments that were not authorized by Morgan Stanley.

Robert Anthony Daly was registered with Morgan Stanley, as well as with Xtellus Capital Partners. He worked in Beverly Hills, California. The September 2024 complaint alleges that he sold investments in First Republic Bank.

Securities brokerage firms have to sufficiently supervise the conduct of their financial advisors. If the firm fails to do so, they could be liable for investor losses. Our law firm that has represented thousands of investors in the past, including numerous investors in California.

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If you lost money with Robert Daly, or Morgan Stanley, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

JACKSONVILLE, ILLINOIS Are you a former customer of financial advisor James Martin also known as Jamie Martin, from Jacksonville, Illinois? Our investment fraud law firm is looking into allegations made against this advisor. In July 2024, he was fired by Berthel Fisher regarding allegations that he borrowed money from clients. With limited exceptions, financial advisors generally are not allowed to borrow money from clients.

After his termination by Berthel Fisher, FINRA initiated an investigation. Mr. Martin refused to cooperate with FINRA, so he was barred from the securities brokerage industry.

James Martin or Jamie Martin, had been with Berthel Fisher from March 2003 to July 2024. He also worked at Jacksonville Savings Bank. Mr. Martin is also being sued by Bankers Healthcare Group in state court in New York.

Berthel Fisher is a FINRA member firm and must have written supervisory and compliance procedures, under securities rules and regulations. If this firm failed to reasonably supervise Martin, it may be liable for customer losses.

Our firm has represented numerous investors throughout Illinois and have dozens of brokerage firms in the past. Attorney David Neuman grew up in the Chicago area and went to the University of Illinois.

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If you lost money with James Martin or Berthel Fisher, please Contact Us at 206-795-5798 for a free evaluation of your case.