Israels & Neuman Law Firm - 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.

SEAN CARNELL SMITH of Edward Jones is FIRED

Israels & Neuman, PLC — Tue, 17 Oct 2023 14:42:03 GMT

Advisor Sean Carnell Smith Fired by Edward Jones

LOUISVILLE, KENTUCKY

Are you a former customer of Sean Carnell Smith, formerly with Edward Jones, in Louisville, Kentucky? His BrokerCheck Report (See PDF below) shows that he was fired by Edward Jones in August 2023. Sean Smith had been licensed with Edward Jones since February 2018.

FINRA’s BrokerCheck report reveals that Edward Jones terminated his registration regarding “concerns [Smith] did not adhere to the Firm’s selling away policy”. Essentially, selling away is when a financial advisor sells investments or products that were not approved by his or her brokerage firm.

With securities brokerage licenses, Sean Carnell Smith had a duty to follow FINRA rules while working with his brokerage firm. This includes FINRA Rule 3280, which requires brokers or advisor to disclose to their brokerage firms all investments sold by the advisor.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Seattle, and Phoenix. We represent investors all over the country, including investors in Kentucky.

VIEW BROKERCHECK REPORT HERE

If you lost money with Sean Carnell Smith or Edward Jones, please Contact Us at 206-795-5798 for a free evaluation of your case.

JERMAINE BENJAMIN of Pruco Securities is BARRED by FINRA

Israels & Neuman, PLC — Thu, 08 Jun 2023 17:01:54 GMT

Jermaine Benjamin, Formerly with Pruco Securities, Barred from Securities Industry

TAMPA, FLORIDA

Have you invested with advisor Jermaine Benjamin in Tampa, Florida? The investment fraud and securities arbitration law firm of Israels & Neuman is reviewing claims made against Jermaine Benjamin. In June 2023, Benjamin was barred from the securities industry by FINRA, because he failed to respond to a FINRA investigation regarding a customer complaint alleging that Benjamin engaged in “unauthorized transactions and misappropriation/defalcation”.

Jermaine K. Benjamin had been a broker with Pruco Securities from February 2013 to July 2020 and with Raymond James Financial from July 2020 to April 2022. He worked in Riverview and Tampa, Florida. He also operated J B Financial Services and Insurance.

Pursuant to FINRA Rule 8210, Mr. Benjamin is mandated to cooperate with FINRA investigations. Likewise, Pruco Securities must adequately monitor the conduct of its advisors. If it failed to adequately supervise Benjamin or other advisors, the firm could be responsible for financial losses.

Israels & Neuman is an investment fraud and securities arbitration law firm that has represented thousands of investors in the past. We represent investors throughout the country, including in Florida.

View Benjamin, j FINRA AWC

View Benjamin, j BrokerCheck 6.8.23

If you lost money with Jermaine Benjamin or Pruco Securities, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

COMPLAINTS Against GREGORY BARSON and Crown Capital Securities

Israels & Neuman, PLC — Mon, 10 Apr 2023 14:01:26 GMT

Customer Complaint Pending Against Crown Capital Securities Involving Gregory Barson

LAS VEGAS, NEVADA Were you a former customer of financial advisor Gregory Barson? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against former Crown Capital Securities advisor Gregory Barson, in Las Vegas, Nevada. According to FINRA’s BrokerCheck, Barson has been the subject of a customer complaint that was made in March 2023.

The March 2023 complaint made against Crown Capital Securities alleges that Barson made unsuitable recommendations to invest in non-traded REITs (real estate investment trusts) and BDCs (business development companies). The REITs and BDCs allegedly caused $99,000 in losses.

Crown Capital Securities had Gregory Barson as its representative from September 2016 to September 2020. He was also with Investment Planners from August 2020 to the present. Barson works in Las Vegas, Nevada.

Brokerage firms and their advisors have duties to make investment recommendations which are suitable to customers, pursuant to FINRA Rule 2111. Non-traded REITs or BDCs may not be suitable for investors looking for safe or secure investments.

View Barson, g BrokerCheck 4.10.23

If you lost money with Gregory Barson or Crown Capital Securities, please Contact Us at 720-599-3505 or 206-795-5798 for a free evaluation of your case.

FINRA Bars Advisor FRANK CID (Francis Cid) of CBC Securities

Israels & Neuman, PLC — Thu, 03 Feb 2022 18:46:13 GMT

NEW YORK FINRA (the Financial Industry Regulatory Authority) barred Francis Cid also known as Frank Cid from the securities industry in January 2022. FINRA was investigating an entity that Cid controls, and FINRA had concerns that Cid was engaging in private securities transactions. Cid, who previously was affiliated with CBC Securities, refused to cooperate with FINRA’s investigation. As such, pursuant to FINRA Rule 8210, FINRA barred Frank Cid from the securities industry.

Francis Cid was registered with a number of different firms over the last several years, including the following:

Eastgate Securities from November 2020 to May 2021 in Little Neck, New York;
CBC Securities from February 2020 to November 2020 in Plainview, New York;
Joseph Stone Capital from October 2019 to February 2020 in Plainview, New York;
Richard James & Associates from January 2019 to October 2019 in Syosset, New York;
Craft Capital Management from March 2016 to January 2019 in Garden City, New York.

Cid was also involved with a company called CloudChayne, Inc.

Each of these brokerage firms had an obligation to reasonably supervise Cid’s conduct while he was affiliated with them. If the firm failed its obligations to supervise Cid, then they could be responsible for losses suffered by investors.

Israels & Neuman is a securities arbitration firm that represents investors all over the country, including in New York. We have represented over 1,000 investors against numerous securities brokerage and investment advisory firms.

Click to view: Cid, Francis FINRA AWC

Click to view: Cid, Francis BrokerCheck 1.31.22

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

Complaints Against Advisor MICHAEL FASCIGLIONE for Sales of REITs

Israels & Neuman, PLC — Mon, 02 Aug 2021 18:03:07 GMT

NEW YORK, NEW YORK Have you lost money with financial advisor Michael Fasciglione, formerly with National Securities Corp. in Mineola, New York? The Securities and investment fraud law firm of Israels & Neuman is looking into allegations made against Michael Fasciglione, who has been the subject of seventeen (17) customer complaints, four of which were filed within the last year. The recent complaints allege that Fasciglione made unsuitable investment recommendations in private placements and real estate investments.

Michael Fasciglione was with National Securities Corp. from 2007 to September 2017. He has also been with Aegis Capital from September 2017 to the preset. He has worked at branch offices in Mineola, New York. Fasciglione was also suspended by FINRA for 30 days and fined $5,000 in 2014.

Brokerage firms like National Securities 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; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against National Securities Corp.

Click to view Michael Fasciglione BrokerCheck Report

If you lost money with Michael Fasciglione, Aegis Capital, or National Securities Corp., contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

UPDATE: Law Firm Helps Forgery Victims of JOHN PARK and Farm Bureau Life

Israels & Neuman, PLC — Mon, 19 Jul 2021 21:19:07 GMT

The Law Firm of Israels & Neuman Helps Victims Recover Investment Money Due to Losses with JOHN PARK of FBL Marketing Services (Farm Bureau Life)

SIOUX FALLS, SOUTH DAKOTA — Have you lost money with financial advisor John Park? We are continuing to look into allegations made about John Clifford Park from Sioux Falls, South Dakota. In 2020, FINRA (the Financial Industry Regulatory Authority) barred Park from the securities industry. FINRA alleged that Park failed to respond to the investigation. FINRA was investigating Park after an affiliate insurance company terminated Park after discovering he violated policies regarding business submission and premium payments. Park was terminated by his former brokerage firm (FBL Marketing Services) after he was alleged to have created fictitious insurance policies, forged signatures on those policies, and made premium payments to himself.

Park was also barred by the SEC in 2021. The SEC alleged that Park committed fraud and forgery.

John Park was a financial advisor and registered representative of FBL (Farm Bureau Life) Marketing Services from May 2011 to October 2019. He worked in branch offices in West Des Moines, Iowa and Sioux Falls, South Dakota.

Brokerage firms like FBL Marketing Services 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; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including South Dakota. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view John Clifford Park BrokerCheck Report