<![CDATA[FINRA law firm in Arizona - Israels & Neuman, PLC]]> https://www.israelsneuman.com/blog/tags/finra-law-firm-in-arizona/ Wed, 20 Aug 2025 15:41:51 GMT en-us <![CDATA[MONICA BALDWIN of Raymond James Accused of Selling Unsuitable Oil & Gas Investments]]> https://www.israelsneuman.com/blog/monica-baldwin-of-raymond-james-accused-of-selling-unsuitable-oil-gas-investments/ https://www.israelsneuman.com/blog/monica-baldwin-of-raymond-james-accused-of-selling-unsuitable-oil-gas-investments/ Thu, 16 Sep 2021 16:55:38 GMT LONGMONT, COLORADO Have you lost money with financial advisor Monica Baldwin, with Raymond James Financial in Longmont, Colorado? We are looking into allegations made against Monica Baldwin. Baldwin and her brokerage firm, Raymond James Financial, were the subject of a FINRA arbitration claim, where a customer alleged Baldwin overconcentrated their accounts in energy investments, including…

]]> LONGMONT, COLORADO Have you lost money with financial advisor Monica Baldwin, with Raymond James Financial in Longmont, Colorado? We are looking into allegations made against Monica Baldwin. Baldwin and her brokerage firm, Raymond James Financial, were the subject of a FINRA arbitration claim, where a customer alleged Baldwin overconcentrated their accounts in energy investments, including InterOil Corp., Halliburton, QEP RES, Synergy Res, Oasis Petroleum, Wildhorse Resource, Continental Resources, and Pioneer Natural Resources. An arbitration panel found in favor of the investors and ordered Raymond James Financial and Baldwin to pay $165,000.

Monica Baldwin has been with Raymond James Financial from 2003 to the present. She has worked at branch offices in Longmont, Colorado.

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 Colorado. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Raymond James Financial.

Click here to view Monica Baldwin BrokerCheck Report

If you lost money with Monica Baldwin 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.

]]> <![CDATA[WARNING- Investigation of DALE RAMSPERGER and Securities America]]> https://www.israelsneuman.com/blog/warning-investigation-of-dale-ramsperger-scottsdale-az/ https://www.israelsneuman.com/blog/warning-investigation-of-dale-ramsperger-scottsdale-az/ Fri, 03 Sep 2021 17:01:00 GMT SCOTTSDALE, ARIZONA Have you lost money with financial advisor Dale Ramsperger, formerly with Securities America in Scottsdale, Arizona? We are looking into allegations made against Dale Ramsperger. Ramsperger was suspended from the securities industry by FINRA for five months. Ramsperger was alleged to have to recommended investments in promissory notes of a media company in…

]]> SCOTTSDALE, ARIZONA Have you lost money with financial advisor Dale Ramsperger, formerly with Securities America in Scottsdale, Arizona? We are looking into allegations made against Dale Ramsperger. Ramsperger was suspended from the securities industry by FINRA for five months.

Ramsperger was alleged to have to recommended investments in promissory notes of a media company in which Ramsperger was a minority shareholder. Ramsperger allegedly failed to disclose this to his former brokerage firm, Securities America. The media company has since defaulted on the promissory notes.

Dale Ramsperger was with Securities America from 2005 to January 2020. He has worked at branch offices in Scottsdale, Arizona. Ramsperger is now with DMK Advisor Group. Ramsperger also is an owner of Tannin Media Group.

Brokerage firms like Securities America 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 Arizona. Attorney Aaron Israels is licensed to practice law in Arizona. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Securities America.

Click here to view Dale Ramsperger BrokerCheck Report

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

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