financial advisor - Israels & Neuman, PLC

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

Warning: RODNEY WASHINGTON of UBS Financial is BARRED – Ohio

Israels & Neuman, PLC — Mon, 13 Dec 2021 21:45:59 GMT

NEW ALBANY, OHIO

Have you lost money with financial advisor Rodney Washington, formerly with UBS Financial Services, in New Albany, Ohio? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Rodney D. Washington. FINRA barred Washington from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Washington for allegations that he engaged in undisclosed outside business activities.

Rodney Washington was a financial advisor and registered representative of UBS Financial Services from 1994 to April 2021. He worked at a branch office in New Albany, Ohio. Washington has also been the subject of three customer complaints and a 2018 bankruptcy.

Brokerage firms like UBS Financial 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; Ann Arbor, Michigan; Phoenix, Arizona; and Seattle, Washington. 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, including UBS Financial Services.

Click HERE to view Washington, R BrokerCheck Report

Click HERE to view Washington FINRA AWC

If you lost money with Rodney Washington or UBS Financial Services, please Contact Us at 720-599-3505 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.

Investigation of JASON GAROFALO and Ameriprise Financial

Israels & Neuman, PLC — Thu, 02 Dec 2021 21:44:11 GMT

LAS VEGAS, NEVADA

Have you lost money with financial advisor Jason Garofalo, with Ameriprise Financial Services, in Las Vegas, Nevada? We are looking into allegations made against Jason Garofalo. Garofalo has been the subject of a recent customer complaint. Garofalo was alleged to have sold unsuitable investments in non-traded REITs (real estate investment trusts) like Hospitality Investors Trust and Inventrust Properties. These REITs alleged caused $150,000 in damages.

Jason Garofalo has been a financial advisor and registered representative of Ameriprise Financial Services from November 2015 to the present. He worked at a branch office in Las Vegas, Nevada. Garofalo was also the subject of a complaint in 2012 that resulted in a $668,000 award against his former firm.

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

Click here to view Garofalo, J. BrokerCheck Report

If you lost money with Jason Garofalo or Ameriprise Financial Services, please Contact Us at 720-599-3505 for a free evaluation of your case.

Warning! DOUGLAS ROSENBERG of Joseph Stone is SUSPENDED

Israels & Neuman, PLC — Wed, 01 Dec 2021 21:49:50 GMT

HAUPPAUGE, NEW YORK Have you lost money with financial advisor Douglas Rosenberg, with Joseph Stone Capital in Hauppauge, New York? We are looking into allegations made against Douglas J. Rosenberg. Rosenberg was the subject of an investigation by FINRA. FINRA investigated whether Rosenberg had been excessively trading or churning customer accounts. To settle these allegations, Rosenberg was suspended for seven months and ordered to pay partial restitution of $25,000.

Douglas Rosenberg has been with Joseph Stone Capital from November 2013 to the present. He has worked at branch offices in Hauppauge, New York. Rosenberg has also been the subject of four customer complaints.

Brokerage firms like Joseph Stone 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 in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Joseph Stone Capital.

Click Here to view Rosenberg, D BrokerCheck Report

If you lost money with Douglas Rosenberg or Joseph Stone 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.

WARNING: Investigation of MARIANNE SMITH of Cetera Advisors

Israels & Neuman, PLC — 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 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.

HAYK PAPOYAN of MML Investors Under FINRA Investigation

Israels & Neuman, PLC — Sun, 28 Nov 2021 20:08:21 GMT

VAN NUYS, CALIFORNIA

Have you lost money with financial advisor Hayk Papoyan, formerly of MML Investors Services in Van Nuys, California? We are looking into allegations made against Hayk Papoyan. FINRA began investigating Papoyan regarding an alleged undisclosed brokerage account. Papoyan was also terminated in July 2021 by MML Investors Services regarding an undisclosed outside business activity.

Hayk Papoyan was a registered representative of MML Investors Services from 2004 to July 2021. He has worked at branch offices in Van Nuys, California.

Brokerage firms like MML Investors 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, including against MML Investors Services.

View Papoyan, H. BrokerCheck Report

If you lost money with Hayk Papoyan or MML Investors Services, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

WARNING: William LeBoeuf of Merrill Lynch and Cetera SUSPENDED

Israels & Neuman, PLC — Wed, 24 Nov 2021 22:22:45 GMT

MIAMISBURG, OHIO

Have you lost money with financial advisor William LeBoeuf, formerly with Merrill Lynch, in Miamisburg, Ohio? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William LeBoeuf. FINRA suspended LeBoeuf from the securities industry for one year and fined him $12,500. FINRA was investigating LeBoeuf for allegations that he engaged in undisclosed outside business activities and private securities transactions.

LeBoeuf allegedly created Accelerate Capital Partners LLC, the purpose of which was to facilitate investments in another company. LeBoeuf also solicited investments in the company to 12 investors. In August 2019, three investors invested $750,000 in the company’s promissory notes.

William LeBoeuf was a financial advisor and registered representative of Merrill Lynch from 2009 to March 2019. He was also with Cetera Advisor Networks from March 2019 to December 2019. He worked at a branch office in Miamisburg, Ohio. He was also terminated by Cetera Advisor Networks in 2019, and he was also a board member of Consumer Optix.

Brokerage firms like Merrill Lynch and 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.

VIew LeBoeuf, W. BrokerCheck Report

If you lost money with William LeBoeuf, Cetera Advisor Networks, or Merrill Lynch, please Contact Us at 720-599-3505 for a free evaluation of your case.

Efrain Trujillo of Western International Securities Terminated for Borrowing Money

Israels & Neuman, PLC — Tue, 23 Nov 2021 19:51:59 GMT

LOS ANGELES, CALIFORNIA Have you lost money with financial advisor Efrain Trujillo, formerly with Western International Securities in Los Angeles, California? We are looking into allegations made against Efrain Trujillo. Trujillo was discharged from Western International Securities regarding allegations that he borrowed money from a customer. Generally, advisors cannot borrow money from customers, with limited exceptions.

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.

RODGER THOMAS of SCF Accused of Unsuitable Investments in GPB

Israels & Neuman, PLC — Wed, 17 Nov 2021 20:44:17 GMT

LIVINGSTON, NJ Have you lost money with financial advisor Rodger Thomas, formerly with SCF Securities and now with Newbridge Securities Corp. in Livingston, New Jersey? We are looking into allegations made against Rodger Erik Thomas. Thomas has been the subject of two customer complaints, one of which was filed within the last year. The recent complaint alleges that Thomas recommended unsuitable investments in GPB Automotive.

Rodger Thomas was with SCF Securities from December 2016 to August 2018. He was also with Kovack Securities from August 2018 to October 2018 and has been with Newbridge Securities Corp. from October 2018 to the present. He has worked at branch offices in Livingston, New Jersey.

Brokerage firms like SCF Securities and Newbridge Securities Corp. 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 SCF Securities.

View R. Thomas BrokerCheck Report

If you lost money with Rodger Thomas, GPB, SCF Securities, or Newbridge Securities Corp., contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

ABDUL RAHMANI Barred for Soliciting Axe Marketing Investments

Israels & Neuman, PLC — Wed, 03 Nov 2021 16:36:39 GMT

MELVILLE, NY

Have you lost money with financial advisor Abdul Rahmani? We are investigation allegations made about Abdul M. Rahmani from Melville, New York. FINRA (the Financial Industry Regulatory Authority) barred Rahmani from the securities industry after he failed to fully cooperate with an investigation. FINRA alleges that Rahmani engaged in an outside business activity without disclosing such to his former brokerage firm, Joseph Stone Capital. Rahmani was alleged to have solicited investors to invest in pre-IPO stocks through a company called Axe Marketing Group.

Abdul Rahmani was a financial advisor and registered representative of Joseph Stone Capital from June 2018 to August 2020. He worked in offices in Melville and Mineola, New York. Rahmani was also terminated by three prior firms.

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 New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Joseph Stone Capital.

View A. Rahmani BrokerCheck Report

If you lost money with Abdul Rahmani or Joseph Stone Capital, please Contact Us at 720-599-3505 for a free evaluation of your case.

Losses in Northstar GICs with STEPHEN BERROCAL of Suntrust and Truit

Israels & Neuman, PLC — Mon, 01 Nov 2021 18:33:27 GMT

CORAL GABLES, FLORIDA Have you lost money with financial advisor Stephen Berrocal, formerly with Suntrust Investment Services in Coral Gables, Florida? We are looking into allegations made against Stephen or Steve Berrocal. Berrocal has been the subject of four customer complaints, all of which were made within the last 14 months. The complaints allege losses in Northstar GICs, or guaranteed investment contracts. The Northstar GICs allegedly lost significant value.

Stephen Berrocal has been with Suntrust Investment Services (now Truist) from 2013 to the present. He has worked at branch offices in Coral Gables, Florida.

Brokerage firms like Suntrust 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.

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 Suntrust Investment Services.

View S Berrocal BrokerCheck Report

If you lost money with Stephen Berrocal, Suntrust Investment Services, Truist, or Northstar, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

PAUL FORDHAM of David Lerner Accused of Losses in Energy 11

Israels & Neuman, PLC — Mon, 01 Nov 2021 18:02:24 GMT

BOCA RATON, FLORIDA Have you lost money with financial advisor Paul Fordham, formerly with David Lerner Associates in Boca Raton, Florida? We are looking into allegations made against Paul T. Fordham, Sr. Fordham has been the subject of a customer complaint, which was made within the last year. The complaint alleges losses in Energy 11, which is an oil and gas investment.

Paul Fordham was with David Lerner Associates from 2007 to March 2016. Fordham has been with Wells Fargo from March 2016 to the present. He has worked at branch offices in Boca Raton, Florida.

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

View P Fordham BrokerCheck Report

If you lost money with Paul Fordham, 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.

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.