customer complaints - Israels & Neuman, PLC

Bryce Hamilton Customer Complaint at LPL Financial

Israels & Neuman, PLC — Fri, 03 Jan 2025 15:23:27 GMT

Carmel by the Sea, California

Are you a former customer of financial advisor Bryce Hamilton from Carmel by the Sea, California? Our investment fraud law firm is looking into allegations made against this advisor. He was permitted by LPL Financial to resign in October 2024 regarding allegations that he failed to timely report a customer complaint regarding conduct at prior firms.

The customer complaint alleged that Mr. Hamilton recommended an unsuitable investment in a private placements during 2021. He was affiliated with a few firms during 2021, including Kingswood Capital Partners, Financial Gravity Family Office Services, and Forta Financial Group in Carmel by the Sea, California. The customer alleged $300,000 in losses from these private placements.

Our firm has represented numerous investors throughout California and have sued dozens of brokerage firms in the past. We represent clients in all 50 states.

You can find a copy of Bryce Hamilton’s BrokerCheck report here.

If you lost money with Bryce Hamilton, Kingswood Capital Partners, Financial Gravity Family Office Services, or Forta Financial Group, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

TROY ORLANDO OF CRAFT CAPITAL IS BARRED

Israels & Neuman, PLC — Thu, 21 Nov 2024 18:26:56 GMT

NEW YORK, NY

Did you invest with financial advisor Troy Orlando in New York, New York? Israels & Neuman is looking into claims made by FINRA against this advisor, who had been an affiliate of Craft Capital Management from March 2022 to November 2023. In November 2024, he was barred from the securities brokerage industry by FINRA after he refused to cooperate with a FINRA investigation.

According to FINRA’s Letter of Acceptance, Waiver, and Consent (AWC), Mr. Orlando was permitted to resign by Craft Capital Management in November 2023. FINRA had previously suspended him in November 2023 after he allegedly violated Regulation Best Interest while he worked at prior brokerage firms. FINRA was also investigating the suitability of his trades at Craft Capital, which led to his expulsion from the industry.

Troy A. Orlando was previously registered with Craft Capital Management, Joseph Gunnar, and Joseph Stone Capital. He worked in New York, New York and also was the subject of two customer complaints and a 2022 bankruptcy.

Brokerage firms must reasonably monitor its financial advisors. If the firm fails to do so, they could be liable for investor losses.

FINRA’s AWC Regarding Troy Orlando can be found HERE

Troy Orlando’s BrokerCheck Report can be found HERE

If you lost money with Troy Orlando or Craft Capital Management, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Investigation of BEECHWOOD BERMUDA, NORTHSTAR FINANCIAL and OMNIA

Israels & Neuman, PLC — Fri, 03 Mar 2023 16:06:27 GMT

Israels & Neuman, PLC Investigates Beechwood Bermuda International Investment Losses

BERMUDA

Did you invest in Beechwood Bermuda International? Israels & Neuman is a securities arbitration law firm and is looking into claims made regarding Beechwood Bermuda International, which is currently in litigation. Its sister companies, Omnia, Ltd. and Northstar Financial Services (Bermuda) are also in a liquidation process.

Some financial advisors sold investments in Beechwood Bermuda International. They represented the investments as being “guaranteed” with principal protection, meaning that investors supposedly could not lose their principal investment. Instead, investors have received nothing back and in many instances, have suffered full losses in Beechwood Bermuda, Omnia, and Northstar Financial.

When financial advisors recommend products like Beechwood Bermuda, they have an obligation to perform due diligence on the product, so that the advisor can make sure that the investment is appropriate for their customer. If the advisor and/or the brokerage firm fail in this respects, they can be liable for investor losses.

The Law Firm of Israels & Neuman is a FINRA arbitration and investment fraud law firm and has spoken with investors who lost money in Beechwood Bermuda, and we are ready to bring claims on behalf of customers to recover these losses.

If you lost money with Beechwood Bermuda International, Omnia Limited, or Northstar Financial Services, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

RANDALL MINAS of Stifel Nicolaus, Subject of $500,000 Complaint

Israels & Neuman, PLC — Tue, 25 Jan 2022 20:35:54 GMT

CROWN POINT, INDIANA

Randall Minas has been an advisor with Stifel Nicolaus from February 2017 to the present and has worked in an office in Crown Point, Indiana. According to the BrokerCheck database maintained by FINRA, Minas has been the subject of a customer complaint that was filed in Denver County District Court in Denver, Colorado. The complaint was filed in September 2020 and alleges violations of the Colorado Securities Act in regards to the sale of common and preferred stock.

Randall Minas has been licensed with Stifel Nicolaus from February 2017 to the present. Minas was also previously with City Securities Corp. before joining Stifel. He maintained an office in Crown Point, Indiana. Minas has been the subject of six customer complaints, as well as seven financial issues, which include bankruptcies and compromises with creditors.

While Minas is affiliated with Stifel Nicolaus, Stifel Nicolaus has an obligation to reasonably supervise his conduct. If Stifel Nicolaus fails to do, it can be liable for investor losses.

Israels & Neuman PLC is a securities arbitration and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. Attorney Aaron Israels is licensed to practice law in Colorado. Our firm has handled many FINRA arbitration claims in the past, including claims against Stifel Nicolaus.

Click to view: Minas, Randall BrokerCheck 1.20.22

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

Losses with MICHAEL NIXON and Steepener Notes – Tampa, FL

Israels & Neuman, PLC — Sat, 01 Jan 2022 20:28:03 GMT

TAMPA, FLORIDA

Have you lost money with financial advisor Michael Nixon, formerly with Paulson Investment Company in Tampa, Florida? We are looking into allegations made against Michael P. Nixon. Nixon has been the subject of an investigation by FINRA. FINRA investigated Nixon regarding allegations that he sold unsuitable investments in Steepener Notes. FINRA alleged that Nixon failed to understand the potential risks of the Steepener investments when recommending such to a customer.

Michael Nixon was with Paulson Investment Company from December 2015 to January 2020. He has worked at branch offices in Tampa, Florida. Nixon has also been the subject of two customer complaints, as well as a prior 15-day suspension by FINRA in 2019.

Brokerage firms like Paulson Investment Company 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, including against Paulson Investment Company.

Click to view: Nixon, Michael FINRA AWC

Click to view: Nixon, Michael BrokerCheck 12.30.21

If you lost money with Michael Nixon or Paulson Investment Company, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

WARNING! Advisor RITA MANSOUR Involved in CUSTOMER COMPLAINTS

Israels & Neuman, PLC — Tue, 14 Dec 2021 21:43:53 GMT

TOLEDO, OHIO

Have you lost money with financial advisor Rita Mansour Of McDonald Partners in Toledo, Ohio? We are looking into allegations made by the Securities and Exchange Commission (SEC) against Rita Mansour. The SEC alleged that Mansour sold investments in two pooled investment vehicles, the purpose of which was to then invest in a resort in Montenegro. After discovering that a point-person of the investment had misappropriated over $400,000, Mansour continued to sell these investments without disclosing the misappropriation to investors. To settle these allegations, she agreed to pay a $40,000 penalty, $22,968 in disgorgement, and $4,884 in interest.

Rita Mansour has been a financial advisor and registered representative of McDonald Partners from 2006 to the present. She worked at a branch office in Toledo, Ohio. Mansour has also been the subject of four customer complaints.

Brokerage firms like McDonald Partners 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 Ann Arbor, Michigan; Denver, Colorado; Seattle, Washington; and Phoenix, Arizona. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Ohio. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click HERE to view Mansour, R BrokerCheck Report

Click HERE to view Mansour SEC Order

IF YOU LOST MONEY WITH RITA MANSOUR OR McDONALD PARTNERS, CALL THE LAW FIRM OF ISRAELS & NEUMAN FOR MONEY RECOVERY OPTIONS. (720) 599-3505

DANIEL JAMES O’NEILL of Aegis is SUSPENDED for Excessive Trading

Israels & Neuman, PLC — Fri, 10 Dec 2021 21:17:31 GMT

MELVILLE, NY

Have you lost money with financial advisor Daniel James O’Neill of Aegis Capital in Melville, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel James O’Neill. Earlier in 2021, FINRA has named O’Neill in a regulatory complaint, alleging that O’Neill excessively traded or churned customer accounts. The excessive trading allegedly happened from July 2014 to June 2015. Customers may be able to recover their losses.

In December 2021, FINRA found that O’Neill engaged in excessive trading. O’Neill was suspended from the securities industry for six months. FINRA also considered fining O’Neill, but O’Neill submitted an affidavit showing a lack of ability to pay a fine.

Daniel O’Neill was a financial advisor and registered representative of Aegis Capital from April 2013 to July 2021. He worked at a branch office in Melville, New York. O’Neill has been the subject of at least two customer complaints and several tax liens.

Brokerage firms like Aegis Capital 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; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Aegis Capital.

Click HERE to view O’Neill BrokerCheck Report

If you lost money with Daniel O’Neill or Aegis Capital, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

ROBERT GUIDICIPIETRO of Arive Capital Accused of CHURNING

Israels & Neuman, PLC — Tue, 30 Nov 2021 18:17:00 GMT

BAY RIDGE, NEW YORK Have you lost money with financial advisor Robert Guidicipietro, formerly with Arive Capital Markets in Bay Ridge, New York? We are looking into allegations made against Robert Guidicipietro. Guidicipietro was suspended from the securities industry for four months, fined $5,000, and ordered to pay $35,219 in restitution by FINRA. FINRA was investigating whether Guidicipietro had been excessively trading or churning customer accounts.

Robert Guidicipietro was with Arive Capital Markets from December 2018 to January 2020. He has been with Alexander Capital from January 2020 to the present. He has worked at branch offices in Bay Ridge, New York. Guidicipietro has also been the subject of six customer complaints and has been under two prior regulatory investigations.

Brokerage firms like Arive Capital Markets 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 York. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view Guidicipietro, R. BrokerCheck Report

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

Mark Chamberlain of First Allied Securities, Subject of Several Customer Complaints

Israels & Neuman, PLC — Mon, 22 Nov 2021 18:06:20 GMT

Mark Chamberlain, Formerly with First Allied Securities, Subject of Several Customer Complaints

Have you lost money with financial advisor Mark Chamberlain, formerly with First Allied Securities in Chesterton, Indiana? We are looking into allegations made by former customers of Mark W. Chamberlain. Chamberlain has been the subject of at least seven customer complaints. One of the complaints alleges misrepresentations related to the sales of private placements and limited partnerships.

Mark Chamberlain was with First Allied Securities from 2008 to May 2020. He was been with CapFinancial Partners from May 2020 to the present. He has worked at branch offices in Chesterton, Indiana.

Brokerage firms like First Allied 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 Indiana. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against First Allied Securities.

Click to view M. Chamberlain BrokerCheck Report

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

DUSTIN WARD of OneAmerica and Woodbury Involved in Customer Losses in REITs

Israels & Neuman, PLC — Thu, 18 Nov 2021 19:32:18 GMT

St. LOUIS, MISSOURI Have you lost money with financial advisor Dustin Ward, formerly with OneAmerica Securities and now with Woodbury Financial in St. Louis, Missouri? We are looking into allegations made against Dustin K. Ward. Ward has been the subject of two customer complaints, which were made within the last year. Both complaints allege losses in real estate investment trusts, or REITs.

Dustin Ward was with OneAmerica Securities from 2003 to March 2017. He has been with Woodbury Financial from March 2019 to the present. He has worked at branch offices in St. Louis, Missouri.

Brokerage firms like OneAmerica 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 Missouri. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

View D. Ward BrokerCheck Report

If you lost money with Dustin Ward, OneAmerica Securities, or real estate investment trusts (REITs), contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

MATTHEW SILIATO Involved in Churning Accounts and Unauthorized Trading

Israels & Neuman, PLC — Tue, 16 Nov 2021 19:51:21 GMT

NEW YORK, NY Have you lost money with financial advisor Matthew Siliato, formerly with Wynston Hill Capital in New York, New York? We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority. Earlier in 2021, FINRA barred Matthew Siliato after he failed to respond to an investigation. FINRA was investigating Siliato regarding allegations that he excessively traded (or churned) customer accounts and for potentially unauthorized trading. In November 2021, Craig Sherman, a former executive at Wynston Hill Capital, was suspended and fined for failing to adequately supervise Siliato and two other representatives of Wynston Hill Capital.

Matthew Siliato was a financial advisor and registered representative of Wynston Hill Capital from December 2018 to June 2019 and worked with Craig Sherman. He was also with Spartan Capital Securities from January 2017 to November 2018. He worked at branch offices in New York, New York. Siliato has been the subject of seven customer complaints.

Brokerage firms like Wynston Hill Capital 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 throughout New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

View M. Siliato BrokerCheck Report

View C. Sherman BrokerCheck Report

If you lost money with Matthew Siliato, Spartan Capital Securities, or Wynston Hill Capital, please Contact Us at 206-795-5798 for a free evaluation of your case.

Advisor ROBERT PATERSON of Truist Investment is SUSPENDED

Israels & Neuman, PLC — Mon, 01 Nov 2021 18:21:22 GMT

JUPITER, FLORIDA

Have you lost money with financial advisor Robert Paterson, formerly with Truist Investment Services and BB&T Securities in Jupiter, Florida? We are looking into allegations made against Robert Paterson. Paterson was suspended from the securities industry by FINRA after he failed to respond to an investigation. FINRA is investigating allegations that an investor gave him $60,000 to invest in an annuity, but the annuity company never received the check.

Robert Paterson was with Truist Investment Services from February 2021 to May 2021. He was also with BB&T Securities from January 2018 to February 2021. He has worked at branch offices in Jupiter, Florida. Paterson was also the subject of two customer complaints.

Brokerage firms like Truist Investment 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.

View R Paterson BrokerCheck Report

If you lost money with Robert Paterson, BB&T Securities, or Truist Investment Services, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

KENNETH WELSH of Wells Fargo Charged with FRAUD for Stealing Money

Israels & Neuman, PLC — Mon, 01 Nov 2021 17:32:14 GMT

FAIRFIELD, NEW JERSEY Have you lost money with financial advisor Kenneth Welsh, formerly with Wells Fargo in Fairfield, New Jersey? We are looking into allegations made against Kenneth A. Welsh. Welsh was recently charged with wire fraud by the U.S. Attorney’s Office in New Jersey for stealing money from clients. He is alleged to have taken more than $2.8 million and used the funds for personal use.

Kenneth Welsh was with Wells Fargo from 2012 to July 2021. He has worked at branch offices in Fairfield, New Jersey. Welsh was also the subject of four customer complaints.

Brokerage firms like Wells Fargo 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 Wells Fargo.

View K. Welsh BrokerCheck Report

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