<![CDATA[investment fraud law firm in Minnesota - Israels & Neuman, PLC]]> https://www.israelsneuman.com/blog/tags/investment-fraud-law-firm-in-minnesota/ Wed, 20 Aug 2025 15:41:51 GMT en-us <![CDATA[COMPLAINTS Against SCOTT JASON LEE of Moloney Securities]]> https://www.israelsneuman.com/blog/complaints-scott-lee-moloney-securities/ https://www.israelsneuman.com/blog/complaints-scott-lee-moloney-securities/ Wed, 05 Jan 2022 19:37:02 GMT COLD SPRING, MINNESOTA Have you lost money with financial advisor Scott Jason Lee, formerly of Moloney Securities in Cold Spring, Minnesota? Our firm is continuing to look at allegations made against Scott Lee. In April 2021, Scott Lee has been the subject of a customer complaint, where the customer alleged that Lee sold them an…

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Have you lost money with financial advisor Scott Jason Lee, formerly of Moloney Securities in Cold Spring, Minnesota? Our firm is continuing to look at allegations made against Scott Lee. In April 2021, Scott Lee has been the subject of a customer complaint, where the customer alleged that Lee sold them an unsuitable private placement, causing damages of $82,000. In December 2021, Lee was the subject of a second customer complaint, alleging losses in private placements and limited partnerships.

Scott Lee was a registered representative of Moloney Securities from April 2016 to April 2019. He had been with Ausdal Financial Partners from April 2019 to June 2021. He has worked at branch offices in Cold Spring, Minnesota. Lee also filed for bankruptcy in 2014.

Brokerage firms like Moloney 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 Minnesota. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view: Lee, Scott BrokerCheck 1.5.22

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

]]> <![CDATA[Securities Fraud Law Firm Investigates DENNIS FEARING of Berthel Fisher]]> https://www.israelsneuman.com/blog/securities-fraud-law-firm-investigates-dennis-fearing-of-berthel-fisher/ https://www.israelsneuman.com/blog/securities-fraud-law-firm-investigates-dennis-fearing-of-berthel-fisher/ Mon, 26 Jul 2021 17:15:20 GMT COLERAINE, MINNESOTA Have you lost money with financial advisor Dennis Fearing, formerly with Berthel Fisher in Coleraine, Minnesota? The Investment Fraud Law Firm of Israels & Neuman is looking into allegations made against Dennis Fearing, who has been the subject of three customer complaints, two of which were filed within the last year. The recent…

]]> COLERAINE, MINNESOTA Have you lost money with financial advisor Dennis Fearing, formerly with Berthel Fisher in Coleraine, Minnesota? The Investment Fraud Law Firm of Israels & Neuman is looking into allegations made against Dennis Fearing, who has been the subject of three customer complaints, two of which were filed within the last year. The recent complaints alleges that Dennis Fearing sold unsuitable alternative investments like non-traded REITs, or real estate investment trusts, and BDCs, or business development companies. The customers have alleged combined losses of $1.3 million from the REITs and BDCs.

Dennis Fearing was with Berthel Fisher from June 2011 to February 2021. He has worked at branch offices in Coleraine, Minnesota. Fearing was also the subject of a $57,000 tax lien in 2020.

Brokerage firms like Berthel Fisher 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 Minnesota. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Berthel Fisher.

Click to view Dennis Fearing BrokerCheck Report

If you lost money with Dennis Fearing or Berthel Fisher, 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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