Have you lost money with advisor Mark Stanley, formerly with Royal Alliance and now with Osaic Wealth in Bellevue, Washington? The investment fraud law firm of Israels & Neuman is reviewing claims made by former customers against Mark Stanley or Mark J. Stanley.

FINRA’s BrokerCheck which is linked below, discloses that this advisor has been the subject of two customer complaints since 2023. A 2023 complaint alleges that he induced a customer to surrender a variable annuity and invest the proceeds in a managed account against their wishes. The case settled for $159,000. A 2024 complaint alleged that he did not obtain authorization to engage in an options strategy that resulted in capital gains taxes.

From October 2020 to the present, Mark Stanley has been with Royal Alliance (which was merged into Osaic Wealth). He works in a Bellevue, Washington office.

Israels & Neuman is a securities and investment fraud law firm with its main offices in Seattle, WA,; Phoenix, AZ; Grand Rapids, MI and Ann Arbor, MI. We represent clients in all 50 states and attorney Dave Neuman is licensed to practice law in Washington.

You can find Mark Stanley’s BrokerCheck Report HERE.

If you lost money with Mark Stanley, Royal Alliance or Osaic Wealth, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Efrain Trujillo was with Western International Securities from August 2017 to October 2021. He was also with Financial West Group from June 2012 to August 2017. He has worked at branch offices in Los Angeles, California. Efrain has also been the subject of a customer complaint in 2016, and he was also barred in a principal capacity from FINRA in 2020.

Brokerage firms like Western International 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 Western International Securities.

View E Trujillo BrokerCheck Report

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