excessive trading - Israels & Neuman, PLC

Matthew Turner of Westpark Capital is Suspended

Israels & Neuman, PLC — Tue, 21 Jan 2025 18:22:32 GMT

BOCA RATON, FLORIDA

Have you suffered financial losses with advisor Matthew Turner, formerly of Westpark Capital in Boca Raton, Florida? Our investment fraud law firm is currently examining claims filed by FINRA against this advisor. FINRA suspended him from the securities industry for five months and ordered him to pay $27,415 in restitution.

According to FINRA’s AWC, Turner is accused of excessively trading a client’s accounts from September 2018 to December 2020. This trading activity led to excessive commissions and resulted in $160,000 in losses across two customer accounts. One of these accounts had a cost-to-equity ratio exceeding 50%, indicating it would need a 50% profit just to cover the trading costs.

Matthew Ian Turner was affiliated with Westpark Capital from November 2012 until January 2025, operating out of their Boca Raton, Florida office. He has faced another customer complaint and filed for bankruptcy in 2015.

Israels & Neuman is an investment fraud law firm representing clients nationwide, including investors in Florida. We have previously assisted thousands of investors against various securities brokerage firms across the country.

To see the FINRA AWC against Matthew Turner, please click HERE.

You can find Matthew Turner’s BrokerCheck Report HERE.

If you lost money with Matthew Ian Turner or Westpark Capital, please Contact Us at (616) 280-4303 or (206) 795-5798 for a free evaluation of your case.

KIERAN MARC LOUGHRAN of Spartan Capital is SUSPENDED

Israels & Neuman, PLC — Fri, 30 Aug 2024 19:02:38 GMT

Spartan Capital Stockbroker Kieran Marc Loughran Suspended by FINRA

NEW YORK, NY Have you lost money with advisor Kieran Loughran, formerly with Spartan Capital Securities in New York, New York? Our investment fraud law firm is reviewing claims made by FINRA against Kieran Loughran. FINRA suspended this advisor from the securities industry for three months, fined him $5,000, and ordered him to pay $43,495 in restitution.

FINRA’s AWC alleges that Mr. Loughran allegedly excessively traded a customer’s accounts between January 2016 and March 2019. His trading generated over $43,495 in commissions for himself while generating trading losses of $179,000. The account had a cost-to-equity ratio of 48%. This means that the account would need to earn a profit of 48% just to break even from the costs of trading.

From November 2014 to October 2022, Kieran Marc Loughran was a representative of Spartan Capital Securities. He worked in a New York City office. He was also the subject of four customer complaints and 12 tax liens or judgments.

Israels & Neuman is an investment fraud law firm that represents clients throughout the U.S., including investors in New York. We also have previously represented thousands of investors against multiple securities brokerage firms around the country.

VIEW FINRA AWC HERE. VIEW BROKERCHECK REPORT HERE.

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

Warning! JOSEPH TODARO Terminated by SW Financial

Israels & Neuman, PLC — Mon, 03 Jan 2022 18:21:30 GMT

MELVILLE, NEW YORK Have you lost money with financial advisor Joseph Todaro, formerly with SW Financial in Melville, New York? Todaro was recently discharged from SW Financial regarding allegations that he used non-approved methods of communication after written reprimands from the firm. Todaro has also been the subject of five customer complaints, some of which allege excessive trading or churning.

Joseph Todaro was with SW Financial (formerly Salomon Whitney) from August 2020 to December 2021. Todaro was also with Worden Capital from March 2018 to August 2020. He has worked at branch offices in Melville, New York.

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

Click to view: Todaro, Joseph BrokerCheck 1.1.22

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

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.

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.

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.

ROBERT WOLFE of Cetera Accused of Unsuitable REIT Investments

Israels & Neuman, PLC — Mon, 11 Oct 2021 17:45:00 GMT

FORT LAUDERLDALE, FLORIDA Have you lost money with financial advisor Robert Wolfe, formerly with Cetera Advisor Networks and Girard Securities in Fort Lauderdale, Florida? We are looking into allegations made against Robert B. Wolfe. Wolfe has been the subject of five customer complaints, all of which were made within the last year-and-a-half. The complaint alleges losses in real estate investments like REITs (real estate investment trusts) and private placements.

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 of PFS Investments Accused of Stealing Money

Israels & Neuman, PLC — Wed, 06 Oct 2021 19:04:45 GMT

TOTOWA, NEW JERSEY Have you lost money with financial advisor Jeffrey Dampf, formerly with PFS Investments in Totowa, New Jersey? We are looking into allegations made against Jeffrey Dampf. Dampf was barred from the securities industry after he failed to respond to a FINRA investigation. Jeffrey Dampf was being investigated after it was alleged that Dampf may have been charged with felonies related to taking money from the elderly.

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.

Investigation of JOSHUA HELMLE of Integrity Brokerage

Israels & Neuman, PLC — Wed, 06 Oct 2021 17:35:33 GMT

MONTEREY PARK, CALIFORNIA Have you lost money with financial advisor Joshua Helmle, formerly with Integrity Brokerage Services in Monterey Park, California? We are looking into allegations made against Joshua Helmle. Helmle has been the subject of two customer complaints, one of which was made within the last year. The complaint alleges losses in private placements and limited partnerships.

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.

Complaints Against ALBERTO VALDES of Raymond James

Israels & Neuman, PLC — Tue, 05 Oct 2021 19:04:23 GMT

MIAMI, FLORIDA Have you lost money with financial advisor Alberto Valdes, formerly with Raymond James Financial and now with Citigroup in Miami, Florida? We are looking into allegations made against Alberto Valdes. Valdes has been the subject of two customer complaints, one of which was made within the last year. One of the complaints alleges an unsuitable investment in an offshore product called Northstar, whose issuer is under liquidation order.

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 of Transamerica Financial BARRED

Israels & Neuman, PLC — Tue, 05 Oct 2021 18:58:23 GMT

WHEATON, ILLINOIS Have you lost money with financial advisor Deborah L. Herrmann, formerly with Transamerica Financial Advisors in Wheaton, Illinois? We are looking into allegations made against Deborah Herrmann. Herrmann was barred from the securities industry after she failed to respond to a FINRA investigation. Deborah Herrmann was being investigated after she failed to disclose that she was named as a party in civil litigation. It was alleged that Herrmann sold investment notes without disclosing such to her brokerage firm, Transamerica Financial Advisors.

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.

Complaints Against LANNY HOWARTER of Crown Capital

Israels & Neuman, PLC — Tue, 05 Oct 2021 18:51:54 GMT

SAN DIEGO, CALIFORNIA Have you lost money with financial advisor Lanny Howarter, with Crown Capital Securities in San Diego, California? We are looking into allegations made against Lanny Howarter. Howarter has been the subject of seven customer complaints, three of which were made within the last year. Many of the complaints allege unsuitable investments in REITs (real estate investment trusts), BDCs (business development companies), and private placements.

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.

CYNTHIA GIOVACCHINO of LPL Accused of Unsuitable REITs

Israels & Neuman, PLC — 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 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.

UPDATE! Advisor Chad Mackland Charged with FRAUD

Israels & Neuman, PLC — Tue, 05 Oct 2021 18:36:32 GMT

COUNCIL BLUFFS, IOWA

Have you lost money with financial advisor Chad M. Mackland of Council Bluffs, Iowa? We are continuing to look into allegations made against Mackland. The SEC recently barred Mackland from the securities industry in any capacity. Mackland was charged with multiple felonies related to insurance sales practices.

In March 2021, FINRA, the Financial Industry Regulatory Authority barred Mackland from the securities brokerage industry. Mackland was charged with fraud in Pottawattamie County, Iowa for theft.

Chad Mackland was a financial advisor and registered representative of Northwestern Mutual from 2005 to August 2016. He was also with MML Investors Services from March 2017 to September 2018 and with Lion Street Financial from December 2018 to February 2020. He worked at branch offices in Council Bluffs, Iowa and Omaha, Nebraska. Mackland was also discharged by MassMutual and allowed to resign by Northwestern Mutual.

Brokerage firms like Northwestern Mutual, MML Investors Services, and Lion Street 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 throughout Iowa and Nebraska. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against MML Investors Services.

Click here to view C. Mackland BrokerCheck Report

If you lost money with Chad Mackland, Northwestern Mutual, MML Investors Services, or Lion Street Financial please Contact Us at 720-599-3505 or 206-795-5798 for a free evaluation of your case.

Investigation of CHRISTOPHER KENNEDY of Western International

Israels & Neuman, PLC — Mon, 04 Oct 2021 17:25:51 GMT

TARZANA, CALIFORNIA Have you lost money with financial advisor Christopher B. Kennedy, formerly with Western International Securities in Tarzana, California? We are looking into allegations made against Christopher Kennedy. Kennedy has been the subject of four customer complaints, three of which were made within the last year. The complaints allege unsuitable options trading that caused significant losses.

Christopher Kennedy was with Western International Securities from August 2017 to July 2019 and again from December 2019 to August 2021. He has worked at branch offices in Tarzana, California. Kennedy was also terminated by Western International Securities regarding options trading.

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.

Click here to view C. Kennedy BrokerCheck Report

If you lost money with Christopher Kennedy 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.

Allegations Against DANIEL TUAN LOY of Voya Financial

Israels & Neuman, PLC — Wed, 29 Sep 2021 22:53:44 GMT

MILPITAS, CALIFORNIA Have you lost money with financial advisor Daniel Tuan Kien Loy, formerly with Voya Financial Advisors in Milpitas, California? We are looking into allegations made against Daniel Tuan Loy. Loy has been the subject of three customer complaints, one of which was made within the last year. The recent complaint alleges unsuitable investments in real estate. The real estate investments allegedly lost $150,000.

Daniel Tuan Loy was with Voya Financial Advisors from 2007 to September 2015. He has also been with Independent Financial Group from September 2015 to the present. He has worked at branch offices in Milpitas, California. Loy also was “permitted to resign” from Voya Financial Advisors in 2015.

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

Click here to view D. T. Loy BrokerCheck Report

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

COMPLAINTS Against CHAD SCHIEL of Independent Financial

Israels & Neuman, PLC — Wed, 29 Sep 2021 22:45:56 GMT

SAN JUAN CAPISTRANO, CALIFORNIA Have you lost money with financial advisor Chad Schiel, with Independent Financial Group in San Juan Capistrano, California? We are looking into allegations made against Chad Schiel. Schiel has been the subject of a recent customer complaint. The customer alleged unsuitable investments in REITs or real estate investment trusts. The REITs allegedly lost $150,000.

Chad Schiel has been with Independent Financial Group from 2012 to the present. He has worked at branch offices in San Juan Capistrano, California.

Brokerage firms like Independent Financial Group 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 Independent Financial Group.

Click here to view Schiel BrokerCheck Report

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

Securities Fraud Law Firm Investigates PETER PO of Voya

Israels & Neuman, PLC — Wed, 29 Sep 2021 22:21:09 GMT

CUPERTINO, CALIFORNIA Have you lost money with financial advisor Peter Po, formerly with Voya Financial Advisors in Cupertino, California? We are looking into allegations made against Peter Po. Po has been the subject of three customer complaints, one of which was made within the last year. The recent complaint alleges unsuitable investments in real estate. The real estate investments allegedly lost $99,999.

Peter Po was with Voya Financial Advisors from 2007 to August 2015. He has also been with NI Advisors from August 2015 to the present. He has worked at branch offices in Cupertino, California. Po also was discharged by Voya Financial Advisors in 2015.

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 Voya Financial Advisors.

Click here to view P. Po BrokerCheck Report

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

ERIC HOLLIFIELD of LPL & Hamilton Investment Accused of Stealing $1.24 Million

Israels & Neuman, PLC — Wed, 29 Sep 2021 22:13:35 GMT

DACULA, GEORGIA Have you lost money with financial advisor Eric Hollifield, formerly with LPL Financial in Dacula, Georgia? We are looking into allegations made against Eric Hollifield. Hollifield has been the subject of a recent customer complaint, alleging that Hollifield misappropriated or stole $1.24 million from the customer. Shortly after the complaint was filed, Hollifield was terminated by LPL Financial and Hamilton Investment Counsel.

Eric Hollifield was with LPL Financial from October 2016 to September 2021. He has also been with Hamilton Investment Counsel from October 2016 to September 2021. Hollified was also with Sterne Agee from 2008 to October 2016. He has worked at branch offices in Dacula, Georgia.

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

Click here to view Hollifield BrokerCheck Report

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

GEORGE McCAFFREY of NTB Financial is Now BARRED

Israels & Neuman, PLC — Tue, 29 Jun 2021 21:43:15 GMT

Investigation of George McCaffrey Regarding Greenhouse Building and Leasing Company ENGLEWOOD, COLORADO – Have you lost money with financial advisor George McCaffrey from Englewood, Colorado? We are continuing to look into allegations made by FINRA (the Financial Industry Regulatory Authority) against George L. McCaffrey III. In 2018, FINRA suspended McCaffrey from the securities industry for 18 months, fined him $15,000, and ordered him to disgorge $124,000 in commissions. FINRA was investigating allegations that McCaffrey participated in a private securities transactions without disclosing such to his former brokerage firm, NTB Financial Corp. In particular, McCaffrey was alleged to have raised nearly $1.8 million from investors for a greenhouse building and leasing company, without notice to NTB Financial Corp.

In 2021, FINRA barred George McCaffrey from the securities industry. FINRA alleged that McCaffrey failed to disclose all of his private securities transactions during its 2018 investigation.

George McCaffrey was a registered representative and financial advisor with NTB Financial Corp. from 1989 to October 2017. He worked out of a branch office in Englewood, Colorado. McCaffrey is also the subject of a 2021 customer complaint.

Broker-dealers like NTB Financial Corp. have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives. Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations. When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman are investment fraud and securities arbitration attorneys with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. Our firm has represented over one thousand investors throughout the country, including investors throughout the Denver area. Attorney Aaron Israels is licensed to practice law in Colorado and can meet with our clients in Colorado in-person.

View FINRA AWC: McCaffrey, G. FINRA AWC

View BrokerCheck: McCaffrey, G. BrokerCheck 6.28.21

View FINRA AWC 2021: McCaffrey, George FINRA AWC 2021

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