Flowery Branch - Israels & Neuman, PLC

Ethan Heisey of MML Investors is Suspended

Israels & Neuman, PLC — Thu, 03 Sep 2026 21:08:34 GMT

The securities arbitration law firm of Israels & Neuman is investigating allegations made against financial advisor Ethan Heisey, who was formerly at Northwestern Mutual and MML Investors Services in Atlanta, Georgia.

Allegations Leading Up to Heisey’s Suspension

FINRA investigated Heisey regarding allegations that he “received $7,000 per month for referring approximately 140 potential customers to an insurance marketing organization unaffiliated with MML Investors Services. He did not disclose this activity to the firm”. FINRA has alleged that this conduct occurred between April and October 2024. Generally, financial advisors must get pre-approval for any financial products sold.

To settle these allegations, Heisey agreed to a two-month suspension and a $5,000 fine.

Background on Ethan Heisey

Ethan Heisey was licensed with Northwestern Mutual from December 2020 to March 2024 at an Atlanta, Georgia office. He was also licensed with MML Investors Services from April 2024 to October 2024 at a Flowery Branch, Georgia office. He was terminated by Northwestern Mutual in March 2024.

Can MML Investors Services and Northwestern Mutual Be Responsible to Customers for Losses?

Under FINRA Rule 3110, broker-dealers like MML Investors Services and Northwestern Mutual must reasonably supervise the activity of its advisors. The firms could be responsible for investor losses if they failed to reasonably supervise their advisors.

Israels & Neuman Helps Investors Recover Investment Losses in Georgia

We represent investors throughout the United States as well as Georgia, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. We have represented numerous investors in Georgia in the past. If you were a client of Ethan Heisey and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

Contact Israels & Neuman for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.

Complaints Against Brian Cantel of Berthel Fisher

Israels & Neuman, PLC — Fri, 03 Apr 2026 20:11:06 GMT

Were you a client of financial advisor, Brian Cantel, who works at Berthel Fisher in Flowery Branch, Georgia? The securities and investor fraud law firm of Israels & Neuman is looking into complaints against this advisor regarding Inspired Healthcare Capital Fund investment losses.

Claims Regarding Brian Cantel

FINRA BrokerCheck contains information about whether customers have made complaints against financial advisors like Brian Cantel. According to BrokerCheck, he has been the subject of three customer complaints since 2021. This includes a 2025 customer complaint alleging $1.5 million in losses in real estate investments and private placements.

Also, it has been disclosed on a Form D filed with the SEC that Brian Cantel received compensation for selling investments in Inspired Healthcare Capital Fund LP. Inspired Healthcare filed for bankruptcy, and investors are likely to suffer significant losses in this investment. They may be able to recover losses with the help of Israels & Neuman PLC.

Background on Brian Cantel

Brian Cantel has been licensed with Berthel Fisher since 2006 at a Southfield, Georgia office, as well as a Flowery Branch office. Cantel has been in the securities industry since 1987.

Can Berthel Fisher Be Liable for the Conduct of Brian Cantel?

FINRA Rule 3110 provides that brokerage firms have obligations to sufficiently supervise the activity of its advisors. Berthel Fisher could be liable if it failed to reasonably supervise him, considering factors such as the numerous customer complaints made against him.

We Help Investors in Georgia

We represent investors throughout Georgia, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. If you were a client of Brian Cantel and believe he acted improperly, you may be entitled to recover losses through Israels & Neuman law firm with a FINRA arbitration claim.

View BrokerCheck Report

Contact Israels & Neuman for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We are standing by to help you recover what you deserve.