<![CDATA[Connecticut - Israels & Neuman, PLC]]> https://www.israelsneuman.com/blog/tags/connecticut/ Fri, 03 Apr 2026 19:41:57 GMT en-us <![CDATA[John Davenport of Liberty Partners Financial Gets License Revoked for 7 Years]]> https://www.israelsneuman.com/blog/john-davenport-of-liberty-partners-financial-gets-license-revoked-for-7-years/ https://www.israelsneuman.com/blog/john-davenport-of-liberty-partners-financial-gets-license-revoked-for-7-years/ Fri, 03 Apr 2026 19:41:56 GMT Did you lose money with financial advisor John Davenport of Norwalk, Connecticut?  The securities fraud law firm of Israels & Neuman is reviewing allegations made by the Connecticut Securities and Business Investments Division, against John Davenport.  Allegations Against John Davenport Connecticut revoked John Davenport’s securities license for seven years regarding allegations that he violated duties…

]]> Did you lose money with financial advisor John Davenport of Norwalk, Connecticut?  The securities fraud law firm of Israels & Neuman is reviewing allegations made by the Connecticut Securities and Business Investments Division, against John Davenport. 

Allegations Against John Davenport

Connecticut revoked John Davenport’s securities license for seven years regarding allegations that he violated duties to customers.  In particular, Connecticut alleged that he misrepresented advisory fees charged to clients.  Connecticut also alleged that he failed to maintain a written investment advisory agreement with a client, and that he made a false or misleading statement to the Securities Commissioner.

Davenport’s Background

John Davenport was affiliated with Liberty Partners Financial Services from October 2016 to March 2023.  He worked in Norwalk, Connecticut and is also the subject of four customer complaints, including a 2023 complaint alleging unsuitable alternative investments.  He also operated J. Davenport Advisors LLC, which also had its investment advisory license yanked.

Who is Responsible for Investor Losses?

Liberty Partners Financial Services must reasonably supervise the activities of its representatives.  Liberty Partners Financial Services could be liable for Davenport’s conduct if it failed to reasonably supervise him and if he sold unsuitable investments to customers.

Israels & Neuman PLC is an investment fraud and Securities Arbitration law firm that represents investors all over the country.  We have represented numerous investors in Connecticut in the past.

View Connecticut Order here.

View BrokerCheck report here.

Israels & Neuman Helps Investors Recover Money

If you lost money with John Davenport or Liberty Partners Financial Services, Contact Us at 720-599-3505 or 206-795-5798 for a free and confidential evaluation of your case.

]]> <![CDATA[Matthew Winthrop Discharged by Equitable Advisors]]> https://www.israelsneuman.com/blog/matthew-winthrop-discharged-by-equitable-advisors/ https://www.israelsneuman.com/blog/matthew-winthrop-discharged-by-equitable-advisors/ Fri, 07 Nov 2025 17:22:09 GMT The securities arbitration law firm of Israels & Neuman is looking into allegations involving Matthew Winthrop, who was a representative of Equitable Advisors and worked in an Easton, Connecticut office.  He was terminated by the firm in September 2025. Allegations Against Matthew Winthrop FINRA BrokerCheck discloses that Matthew Winthrop was fired by Equitable Advisors in…

]]> The securities arbitration law firm of Israels & Neuman is looking into allegations involving Matthew Winthrop, who was a representative of Equitable Advisors and worked in an Easton, Connecticut office.  He was terminated by the firm in September 2025.

Allegations Against Matthew Winthrop

FINRA BrokerCheck discloses that Matthew Winthrop was fired by Equitable Advisors in September 2025.  According to BrokerCheck, Equitable Advisors disclosed that he was “discharged for excessive trading in client brokerage accounts”.  Excessive trading also is commonly referred to as “churning”, when an advisor makes a number of trades primarily to increase his compensation or commissions without any significant benefit to the client.

Background of Matthew Winthrop

Matthew Winthrop was licensed with Equitable Advisors from January 2022 to September 2025 in Easton, Connecticut.  He is now registered with Aegis Capital and was previously with Aegis Capital from September 2017 to January 2022.  Winthrop has also been the subject of five customer complaints in his 31 years in the securities industry. 

Is Equitable Advisors Responsible for Winthrop’s Conduct?

FINRA Rule 3110 states that securities broker-dealers like Equitable Advisors must adequately monitor the activity of its advisors.  Brokerage firms could be responsible for investor losses if it failed to reasonably supervise him.

We Help Investors in Connecticut

We represent investors throughout the United States as well as Connecticut, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  If you were a client of Matthew Winthrop and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 We have experience representing Connecticut investors and are ready to help you recover what you deserve.

]]> <![CDATA[JUSTIN MAHER of Northwestern Mutual is SUSPENDED]]> https://www.israelsneuman.com/blog/justin-maher-northwestern-mutual-suspended/ https://www.israelsneuman.com/blog/justin-maher-northwestern-mutual-suspended/ Wed, 04 Oct 2023 20:16:29 GMT Former Northwestern Mutual Advisor Justin Maher Suspended for Crypto Sales NEW HAVEN, CT Did you invest in cryptocurrencies with Justin Maher of Northwestern Mutual? In September 2023, he was suspended from the securities brokerage industry for 12 months and fined $10,000 for selling cryptocurrency investments without disclosing it to his former brokerage firm, Northwestern Mutual.…

]]> Former Northwestern Mutual Advisor Justin Maher Suspended for Crypto Sales

NEW HAVEN, CT

Did you invest in cryptocurrencies with Justin Maher of Northwestern Mutual? In September 2023, he was suspended from the securities brokerage industry for 12 months and fined $10,000 for selling cryptocurrency investments without disclosing it to his former brokerage firm, Northwestern Mutual.

Maher was alleged to have worked with EthereumMax (EMAX). Additionally, he also sold Level Up and PEEPS tokens. He was alleged to have sold cryptocurrencies to more than 30 investors who invested at least $245,000 combined.

Justin Maher was a financial advisor and registered representative of Northwestern Mutual from February 2010 to October 2021. He worked at an office in New Haven, Connecticut before he was “permitted to resign” for selling cryptocurrency.

Under FINRA Rules, brokerage firms have a responsibility to adequately supervise their representatives. When firms fail to adequately monitor their registered representatives, they may be liable for investment losses sustained by customers.

VIEW FINRA AWC HERE VIEW BROKER CHECK REPORT HERE

If you lost money with Justin Maher or Northwestern Mutual, please Contact Us at 206-795-5798 for a free evaluation of your case.

]]> <![CDATA[KEVIN CARROLL Fired by LPL Financial]]> https://www.israelsneuman.com/blog/kevin-carroll-fired-lpl-financial/ https://www.israelsneuman.com/blog/kevin-carroll-fired-lpl-financial/ Wed, 06 Sep 2023 15:13:59 GMT Kevin Carroll Fired by LPL Financial GLASTONBURY, CONNECTICUT Are you a former client of Kevin Carroll, formerly with LPL Financial in Glastonbury, Connecticut? According to FINRA’s BrokerCheck website, Mr. Carroll was terminated by LPL Financial in July 2021, regarding allegations that he made transactions in a customers’ account without written authorization. FINRA has also brought…

]]> Kevin Carroll Fired by LPL Financial

GLASTONBURY, CONNECTICUT

Are you a former client of Kevin Carroll, formerly with LPL Financial in Glastonbury, Connecticut? According to FINRA’s BrokerCheck website, Mr. Carroll was terminated by LPL Financial in July 2021, regarding allegations that he made transactions in a customers’ account without written authorization.

FINRA has also brought a regulatory complaint against Kevin Carroll. FINRA alleged that he borrowed $31,170 from a customer without obtaining prior approval from his brokerage firm, and it also alleged that he engaged in unauthorized trading. To settle these allegations, Carroll agreed to a four-month suspension and a $10,000 fine.

Kevin Carroll was a registered representative of LPL Financial from February 2019 to July 2021. He also was affiliated with Wells Fargo and Buell Securities in the last five years. He worked in offices in Glastonbury, Connecticut.

According to FINRA Rule 3240, generally financial advisors cannot borrow money from customers unless the advisor has prior permission from the brokerage firms, and a list of limited exceptions applies to the transaction.

Our investment fraud law firm has sued dozens of different brokerage firms, including LPL Financial. We represent clients in all 50 states including Connecticut.

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

Carroll, K. BrokerCheck report can be found HERE. Carroll, K. FINRA AWC can be found HERE.

]]> <![CDATA[WARNING: Investigation of MARIANNE SMITH of Cetera Advisors]]> https://www.israelsneuman.com/blog/marianne-smith-complaints-cetera-advisors/ https://www.israelsneuman.com/blog/marianne-smith-complaints-cetera-advisors/ Mon, 29 Nov 2021 18:09:00 GMT AVON, CONNECTICUT Have you lost money with financial advisor Marianne Smith, formerly of Cetera Advisors in Avon, Connecticut? We are looking into allegations made against Marianne Oshee Smith. FINRA began investigating Smith regarding allegations that she converted $43,900 from a customer. The funds were alleged to have been used to purchase mutual funds for Smith’s…

]]> AVON, CONNECTICUT Have you lost money with financial advisor Marianne Smith, formerly of Cetera Advisors in Avon, Connecticut? We are looking into allegations made against Marianne Oshee Smith. FINRA began investigating Smith regarding allegations that she converted $43,900 from a customer. The funds were alleged to have been used to purchase mutual funds for Smith’s son.

Marianne Smith was a registered representative of Cetera Advisors from October 2016 to June 2011. She has worked at branch offices in Avon, Connecticut. Smith has also been the subject of two customer complaints.

Brokerage firms like Cetera 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 Connecticut. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Cetera Advisors.

View Smith, M BrokerCheck Report

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

]]> <![CDATA[Investment Losses with JEFFREY BASFORD of David Lerner Assoc.]]> https://www.israelsneuman.com/blog/investment-losses-with-jeffrey-basford-of-david-lerner-assoc/ https://www.israelsneuman.com/blog/investment-losses-with-jeffrey-basford-of-david-lerner-assoc/ Mon, 11 Oct 2021 17:48:48 GMT WESTPORT, CONNECTICUT Have you lost money with financial advisor Jeffrey Basford, with David Lerner Associates in Westport, Connecticut? We are looking into allegations made against Jeffrey D. Basford. Basford has been the subject of two customer complaints, both of which were made within the last year. The complaints allege losses in Energy 11 and Energy…

]]> WESTPORT, CONNECTICUT Have you lost money with financial advisor Jeffrey Basford, with David Lerner Associates in Westport, Connecticut? We are looking into allegations made against Jeffrey D. Basford. Basford has been the subject of two customer complaints, both of which were made within the last year. The complaints allege losses in Energy 11 and Energy 12, which are oil and gas investments.

Jeffrey Basford has been with David Lerner Associates from 2006 to the present. He has worked at branch offices in Westport, Connecticut.

Brokerage firms like David Lerner Associates 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 Connecticut. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against David Lerner Associates.

Click to view Basford BrokerCheck Report

If you lost money with Jeffrey Basford, David Lerner Associates, Energy 11, or Energy 12, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[CYNTHIA GIOVACCHINO of LPL Accused of Unsuitable REITs]]> https://www.israelsneuman.com/blog/cynthia-giovacchino-lpl-reits/ https://www.israelsneuman.com/blog/cynthia-giovacchino-lpl-reits/ Tue, 05 Oct 2021 18:45:05 GMT SHELTON, CONNECTICUT Have you lost money with financial advisor Cynthia Giovacchino, with LPL Financial in Shelton, Connecticut? We are looking into allegations made against Cynthia Giovacchino. Giovacchino has been the subject of four customer complaints, one of which was recently made. Many of the complaints allege unsuitable investments in REITs (real estate investment trusts) and…

]]> SHELTON, CONNECTICUT Have you lost money with financial advisor Cynthia Giovacchino, with LPL Financial in Shelton, Connecticut? We are looking into allegations made against Cynthia Giovacchino. Giovacchino has been the subject of four customer complaints, one of which was recently made. Many of the complaints allege unsuitable investments in REITs (real estate investment trusts) and BDCs (business development companies).

Cynthia Giovacchino has been with LPL Financial from October 2011 to the present. She has worked at branch offices in Shelton, Connecticut.

Brokerage firms like LPL 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 Connecticut. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against LPL Financial.

Click here to view C. Giovacchino BrokerCheck Report

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

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