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.

VIEW BROKERCHECK REPORT HERE.

VIEW FINRA AWC HERE.

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

ALBANY, NEW YORK Are you a former customer of financial advisor Ross Fabregas from Albany, New York? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against this advisor. In May 2024, he was fired by his brokerage firm, LPL Financial.

LPL Financial terminated Mr. Fabregas regarding allegations that he “borrowed” $15,000 from a customer and did not pay it back. Generally, financial advisors cannot borrow money from clients, with limited exceptions. He also had three tax liens against him in late 2022 and 2023.

Ross R. Fabregas was with LPL Financial from November 2020 to May 2024. He also previously worked with Cambridge Investment Research, and worked in an Albany, New York branch office.

FINRA member firms must have written supervisory and compliance procedures, under securities rules and regulations. If the firm failed to reasonably supervise its financial advisor, it may be liable for customer losses.

Our firm has represented numerous investors throughout New York and have sued multiple brokerage firms in the past.

VIEW BROKERCHECK REPORT HERE.

If you lost money with Ross Fabregas or LPL Financial, please Contact Us at 206-795-5798 for a free evaluation of your case.

BROOKLYN, NEW YORK Are you a former client of financial advisor Marat Likhtenstein? The securities and investment fraud law firm of Israels & Neuman is looking into allegations against this advisor, who previously worked with Royal Alliance (now known as Osaic Wealth).

Mr. Likhtenstein was barred by FINRA after he refused to respond to an investigation. FINRA was investigating whether he had failed to disclose to his brokerage firm that he entered into personal loan transactions with a client. Generally, brokers cannot borrow money from clients, with limited exceptions.

Marat Likhtenstein was registered with Royal Alliance and Osaic from November 2018 to June 2024. He worked in Brooklyn, New York and was also terminated by Osaic regarding the same alleged conduct.

Israels & Neuman has represented thousands of investors in the past, including numerous investors in New York. Our firm has sued many brokerage firms throughout the country, including Osaic.

View FINRA AWC HERE View BrokerCheck Report HERE

If you lost money with Marat Likhtenstein, or Royal Alliance, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

PEORIA, ARIZONA Did you lose money with financial advisor Scott Taubman from Peoria, Arizona? He was suspended for four months by FINRA. FINRA began its investigation after he was “permitted to resign” by his former brokerage firm, Ameriprise Financial Services. Mr. Taubman was under internal investigation by Ameriprise Financial Services, regarding allegations that he borrowed $100,000 from two customers. Financial advisors generally cannot borrow money from clients, with limited exceptions, and the advisor must get prior approval to borrow money from clients.

Scott Taubman held securities licenses with Ameriprise Financial Services from March 2017 to September 2022 and previously with Allstate Financial Services from 2008 to March 2017. He worked in Peoria, Arizona. Taubman has also been the subject of a 2022 bankruptcy and a 2023 customer complaint.

Under FINRA Rule 3240, an advisor can borrow from a customer but under certain circumstances. Likewise, under FINRA Rule 3111, brokerage firms are required to have written supervisory and compliance procedures. If brokerage firms fail to reasonably supervise its advisors, it may be liable for customer losses.

Our firm has represented numerous investors throughout Arizona and have sued dozens of brokerage firms in the past, including Ameriprise Financial Services. Attorney Aaron Israels is licensed to practice law in Arizona, and we maintain an office in Phoenix, Arizona.

View BrokerCheck report here.

View FINRA AWC here.

If you lost money with Scott Taubman or Ameriprise Financial Services, please Contact Us at 206-795-5798 for a free evaluation of your case.

SAN ANTONIO, TEXAS Are you a former customer of financial advisor Eric Anthony Dupre from San Antonio, Texas? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made against this advisor. He was fired by Ameriprise Financial Services in March 2024.

Ameriprise terminated Mr. Dupre in December 2023. According to BrokerCheck, he allegedly borrowed money from clients, which is generally not allowed under FINRA Rules. Additionally, he has been the subject of a $4 million customer complaint, in which the customer alleges that Dupre recommended to the customer to make cryptocurrency investments and other unsuitable investments.

Eric Anthony Dupre had been with Ameriprise from June 2020 to December 2023. He worked in a San Antonio, Texas branch office, and was previously with Raymond James.

Ameriprise is a FINRA member firm and must have written supervisory and compliance procedures, under securities rules and regulations. If the firm failed to reasonably supervise its financial advisors, it may be liable for customer losses.

Our firm has represented numerous investors throughout Texas and have sued many brokerage firms in the past.

View BrokerCheck report here.

If you lost money with Eric Anthony Dupre or Ameriprise, please Contact Us at 206-795-5798 for a free evaluation of your case.

LANCASTER, PENNSYLVANIA Have you invested with financial advisor Cynthia Beyerlein from Lancaster, Pennsylvania? She was suspended for eight months by FINRA. FINRA began its investigation of Beyerlein after she was fired by her brokerage firm, Ameriprise Financial Services. She was under internal investigation by Ameriprise Financial Services, regarding allegations that she borrowed $190,000 from a customer. Financial advisors generally cannot borrow money from clients, with limited exceptions, and the advisor must get prior approval to borrow money from clients.

Cynthia Beyerlein held her securities license with Ameriprise Financial Services from April 2014 to March 2023, and later went to Kingswood Capital Partners. She worked in Lancaster, Pennsylvania.

Under FINRA Rule 3240, an advisor can borrow from a customer but only under certain circumstances. Likewise, under FINRA Rule 3111, Brokerage firms are required to have written supervisory and compliance procedures. If Ameriprise failed to reasonably supervise its advisors, it may be liable for customer losses.

Our firm has represented numerous investors throughout Pennsylvania and have sued dozens of brokerage firms in the past, including Ameriprise Financial Services.

View BrokerCheck Report here. View BrokerCheck Report here.

If you lost money with Cynthia Beyerlein or Ameriprise Financial Services, please Contact Us at 206-795-5798 for a free evaluation of your case.

CHICAGO, ILLINOIS Are you a former client of Jayson Pocius in Chicago, Illinois? The securities and investment fraud law firm of Israels & Neuman is looking into allegations against this financial advisor, who previously worked with Wells Fargo Advisors. In March 2024, he was barred from the securities industry by FINRA, according to FINRA’s Disciplinary Database.

In May 2023, Pocius was fired by his brokerage firm after allegedly admitting that client funds were used for his personal benefit. Subsequently that led to a FINRA investigation. When he failed to respond to FINRA’s investigation, he was barred.

Jayson Pocius was registered with Wells Fargo Advisors from August 2019 to June 2023. He worked in Chicago, Illinois. He also previously worked with Great Point Capital and PNC Investments.

Israels & Neuman has represented over 1,000 investors in the past, including numerous investors in Illinois. We have represented investors against numerous brokerage firms.

FINRA AWC can be found HERE BrokerCheck Report can be found HERE

If you lost money with Jayson Pocius, or Wells Fargo Advisors, contact the law firm of ISRAELS & NEUMAN at 206-795-5798 for a Free evaluation of your case.

CONCORD, CALIFORNIA Have you invested with financial advisor Sean Fields from Concord, California? In January 2024, he was fired by his brokerage firm, PFS Investments. Fields was under internal investigation by his brokerage firm, whereby he allegedly admitted that he borrowed from two customers. Generally, financial advisors cannot borrow money from clients, with limited exceptions, and the advisor must get prior approval to borrow money from clients.

Sean Fields held his securities license with PFS Investments from 2015 to January 2024. He also held his insurance licenses with Primerica Financial Services.

FINRA Rule 3240 provides for circumstances in which an advisor can borrow from a customer. Moreover, under FINRA Rule 3111, Brokerage firms are required to have written supervisory and compliance procedures. If the firm failed to reasonably supervise its representatives, it may be liable for customer losses.

Our firm has represented numerous investors throughout California and have sued dozens of brokerage firms in the past, including PFS Investments.

View BrokerCheck report here.

If you lost money with Sean Fields or PFS Investments, please Contact Us at 206-795-5798 for a free evaluation of your case.

WAUKESHA, WISCONSIN Did you invest with advisor Michael Archimede in Waukesha, Wisconsin? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations against Michael Archimede, who previously worked with PFS Investments (Primerica). In January 2024, he was barred from the securities industry by FINRA.

According to FINRA’s allegations, he was “permitted to resign” by PFS Investments in late 2023. He allegedly admitted to borrowing money from a customer. Generally, financial advisors cannot borrow money from clients, with limited exceptions.

Michael Bob Archimede was registered with PFS Investments from January 2010 to December 2023. He worked in Waukesha, Wisconsin. He also was the subject of a customer complaint made in November 2023.

Our investment fraud law firm has recovered millions of dollars for investors in the past from numerous brokerage firms across the country.

FINRA AWC can be found HERE BrokerCheck Report can be found HERE

If you lost money with Michael Bob Archimede, or PFS Investments, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

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 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.

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.

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 (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.

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.