FINRA securities attorney - Israels & Neuman, PLC

BRETT HARTVIGSON of Independent Financial is BARRED

Israels & Neuman, PLC — Tue, 06 Feb 2024 17:57:09 GMT

Brett Hartvigson Formerly with Independent Financial Group Barred

SAN DIEGO, CALIFORNIA Are you a former client of advisor Brett Hartvigson in San Diego, California? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made against Brett Hartvigson, formerly with Independent Financial Group. Mr. Hartvigson was the subject of a complaint made to FINRA, but he refused to respond to FINRA’s inquiry. As such, he was barred from the securities industry.

Brett Hartvigson was licensed with Independent Financial Group and Farmers Insurance from April 2009 to October 2023. He worked in San Diego, California. He also has been the subject of four customer complaints (including one case that settled for $350,000 in 2021), two financial compromises, and he was terminated by another firm in 2009.

Independent Financial Group must reasonably supervise the conduct of its representatives. If the firm fails to do so, it could be responsible for investor losses. Our law firm that has recovered millions of dollars for investors in the past, and have represented numerous investors in California.

View FINRA AWC HERE View BrokerCheck Report HERE

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

ERIC KUBIAK of Ameriprise is BARRED for Sales of Crypto

Israels & Neuman, PLC — Fri, 15 Dec 2023 19:17:09 GMT

Eric Kubiak Barred from Securities Industry

CHEEKTOWAGA, NEW YORK Did you invest in crypto with advisor Eric Kubiak in Cheektowaga, New York? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Kubiak, who previously worked with Ameriprise Financial Services. According to FINRA’s Disciplinary Database, he was barred from the securities industry by FINRA.

FINRA was investigating Eric Kubiak regarding allegations that he engaged in an undisclosed outside business activity. FINRA was concerned about his potential involvement with crypto assets. There was no mention of which crypto currency he was involved in. Kubiak was also fired by Ameriprise Financial Services regarding these allegations.

Eric Vance Kubiak was registered with Ameriprise Financial Services from 2008 to April 2023. He worked in Cheektowaga, New York.

Our law firm that has recovered millions of dollars for investors in the past, including numerous investors in New York. We have represented investors against numerous brokerage firms, including Ameriprise Financial Services.

FINRA AWC can be found HERE BrokerCheck Report can be found HERE

If you lost money with Eric Vance Kubiak, or Ameriprise Financial Services, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

DEBBIE CAVANAUGH of Centaurus Financial Subject of INVESTIGATION

Israels & Neuman, PLC — Mon, 06 Nov 2023 22:48:14 GMT

Debbie Cavanaugh with Centaurus Financial Investigated by SEC

KALISPELL, MONTANA

Did you lose money with financial advisor Debbie Cavanaugh with Centaurus Financial in Kalispell, Montana? She is also known as Debbie Lee McKenna Cavanaugh and was recently the subject of an investigation by the SEC for potentially violating Regulation Best Interest.

The Securities and Exchange Commission alleged that Cavanaugh may have failed to comply with the care obligation of Regulation Best Interest while she was affiliated with Centaurus Financial. The SEC mentioned that the product involved was “debt-corporate” but did not specify if GWG L Bonds were involved. Additionally, she has been the subject of two other customer complaints involving the sales of real estate investment trusts (or REITs) with prior firms.

Debbie Cavanaugh has been an affiliate of Centaurus Financial since February 2020. She was previously registered with Independent Financial Group and Securities America and worked in a Kalispell, Montana office.

Our securities arbitration law firm represents clients all over the country, including investors in Montana. We have offices in Seattle and Denver but represent investors throughout the Western U.S. We have recovered millions of dollars for investors against numerous firms, including Centaurus Financial.

SEE BROKERCHECK REPORT HERE