<![CDATA[investment fraud law firm - Israels & Neuman, PLC]]> https://www.israelsneuman.com/blog/tags/investment-fraud-law-firm/ Wed, 20 Aug 2025 15:41:51 GMT en-us <![CDATA[Carlton Fletcher of Dinosaur Financial is Barred]]> https://www.israelsneuman.com/blog/carlton-fletcher-dinosaur-financial-barred/ https://www.israelsneuman.com/blog/carlton-fletcher-dinosaur-financial-barred/ Wed, 29 Jan 2025 21:01:21 GMT NEW YORK, NY Are you a former client of financial advisor Carlton Fletcher in New York, New York? The investment fraud law firm of Israels & Neuman is reviewing allegations made by FINRA against this advisor, who was a representative of Dinosaur Financial Group. He was booted from the securities brokerage industry when he failed…

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Are you a former client of financial advisor Carlton Fletcher in New York, New York? The investment fraud law firm of Israels & Neuman is reviewing allegations made by FINRA against this advisor, who was a representative of Dinosaur Financial Group. He was booted from the securities brokerage industry when he failed to cooperate with a FINRA investigation.

Fletcher was under internal investigation by Dinosaur Financial Group when he resigned in April 2024. The FINRA AWC alleged that the internal investigation involved allegations that Fletcher converted funds of an individual.

Carlton Fletcher was registered with Dinosaur Financial Group from 2010 to April 2024 and worked in New York, New York. He also was the subject of a Utah Division of Securities investigation in 2000, as well as an NASD investigation in 2001.

Israels & Neuman represents investors throughout the country in cases involving financial advisors, securities brokerage firms, and investment advisory firms.

FINRA’s AWC Regarding Carlton Fletcher can be found HERE

Carlton Fletcher’s BrokerCheck Report can be found HERE

If you lost money with Carlton Fletcher or Dinosaur Financial Group, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[COMPLAINTS Against SCOTT KEMPS of Great Point Capital]]> https://www.israelsneuman.com/blog/complaints-scott-kemps-great-point-capital/ https://www.israelsneuman.com/blog/complaints-scott-kemps-great-point-capital/ Mon, 26 Jun 2023 15:43:30 GMT Scott Kemps, with Great Point Capital, Subject of Eight Complaints MELBOURNE, FLORIDA Did you lose money with financial advisor Scott Kemps, with Great Point Capital in Melbourne, Florida? Scott Kemps has been the subject of eight customer complaints throughout his career, including a customer complaint that was made in December 2022. The December 2022 customer…

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MELBOURNE, FLORIDA

Did you lose money with financial advisor Scott Kemps, with Great Point Capital in Melbourne, Florida? Scott Kemps has been the subject of eight customer complaints throughout his career, including a customer complaint that was made in December 2022.

The December 2022 customer complaint alleged that Kemps recommended unsuitable private placements and/or limited partnerships to a customer. The customer alleges $400,000 in damages from the allegedly unsuitable investments.

Mr. Kemps has been affiliated with Great Point Capital in Melbourne, Florida from August 2014 to the present. He has been in the securities industry since 1988. He was also fined by Florida for $5,000 in 2014.

Great Point Capital and its advisors have obligations to make suitable investment recommendations to customers. A failure to abide by these rules can lead to financial liability for the firm and/or advisor.

Our securities arbitration law firm represents clients in FINRA Arbitration all over the country, including investors in Florida. We have recovered millions of dollars for investors against numerous firms.

View Kemps, s BrokerCheck 6.26.23

If you lost money with Scott Kemps or Great Point Capital, please Contact Us at 206-795-5798 for a free evaluation of your case.

]]> <![CDATA[Investment Fraud Lawyers at Law Firm Investigate Allegations Against Ameritas in South Dakota]]> https://www.israelsneuman.com/blog/law-firm-investigates-allegations-against-ameritas-in-south-dakota/ https://www.israelsneuman.com/blog/law-firm-investigates-allegations-against-ameritas-in-south-dakota/ Wed, 07 Jul 2021 16:42:45 GMT Ameritas Investment Corp. Fined $20,000 for Failing to Supervise James Anderson and James Oliver of South Dakota DAKOTA DUNES, SOUTH DAKOTA – Have you lost money with financial advisors James Anderson and James Oliver of Dakota Dunes, South Dakota? The Law Firm of Israels & Neuman is investigating allegations made by the South Dakota Securities…

]]> Ameritas Investment Corp. Fined $20,000 for Failing to Supervise James Anderson and James Oliver of South Dakota DAKOTA DUNES, SOUTH DAKOTA – Have you lost money with financial advisors James Anderson and James Oliver of Dakota Dunes, South Dakota? The Law Firm of Israels & Neuman is investigating allegations made by the South Dakota Securities Division against Ameritas Investment Corp. South Dakota alleged that Ameritas failed to adequately supervise James Oliver and James Anderson. Ameritas agreed to pay a $20,000 fine to settle these allegations.

James Anderson was a financial advisor and registered representative of Ameritas Investment Corp. from 2004 to February 2019. James Oliver worked for Ameritas from 2005 to September 2019. They worked at a branch office in Dakota Dunes, South Dakota.

Brokerage firms like Ameritas Investment 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 and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in South Dakota, Nebraska, and Iowa. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Ameritas Investment Corp.

View James Anderson BrokerCheck Report View James Oliver BrokerCheck Report

If you lost money with James Anderson, James Oliver, or Ameritas Investment Corp., 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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