law firm - Israels & Neuman, PLC

Joseph Faherty Complaints of Unsuitable BDCs and REITs

Israels & Neuman, PLC — Tue, 15 Jun 2021 20:06:03 GMT

Israels & Neuman, PLC Investigates Joseph Faherty, of Royal Alliance Associates OLD TAPPAN, NEW JERSEY – Have you lost money with financial advisor Joseph Faherty, of Royal Alliance Associates in Old Tappan, New Jersey? We are looking into allegations made against Joseph Faherty, who has been the subject of two customer complaints, one which was filed in 2021. The customers alleged that Faherty sold them unsuitable BDCs (business development companies) and REITs (real estate investment trusts). The customers allege a combined $900,000 in damages from the BDCs and REITs.

Joseph E. Faherty has been a registered representative of Royal Alliance Associates from 2005 to the present. He has worked at branch offices in Old Tappan, New Jersey.

Brokerage firms like Royal Alliance Associates 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 Jersey. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Royal Alliance Associates.

Click to view BrokerCheck: Faherty, j BrokerCheck 6.11.21

If you lost money with Joseph Faherty or Royal Alliance Associates, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

SCOTT JASON LEE Subject of Complaints

Israels & Neuman, PLC — Tue, 15 Jun 2021 19:52:57 GMT

Israels & Neuman, PLC Investigates Scott Jason Lee, Formerly of Moloney Securities COLD SPRING, MINNESOTA – Have you lost money with financial advisor Scott Jason Lee, formerly of Moloney Securities in Cold Spring, Minnesota? We are looking into allegations made against Scott Lee, who has been the subject of a customer complaint, which was made in 2021. The customer alleged that Lee sold them an unsuitable private placement, causing damages of $82,000.

Scott Jason Lee was a registered representative of Moloney Securities from April 2016 to April 2019. He has been with Ausdal Financial Partners from April 2019 to the present. He has worked at branch offices in Cold Spring, Minnesota.

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 BrokerCheck: Lee, s BrokerCheck 6.11.21

If you lost money with Scott 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.

PHILLIP ANDERSON Customer Complaints

Israels & Neuman, PLC — Tue, 15 Jun 2021 19:23:27 GMT

Israels & Neuman, PLC Investigates Phillip Anderson, of Kingswood Capital Partners ROSEVILLE, CALIFORNIA – Have you lost money with financial advisor Phillip Curtis Anderson, of Kingswood Capital Partners in Roseville, California? We are looking into allegations made against Phillip Anderson, who has been the subject of two customer complaints, one which was filed in 2021. The 2021 customer complaint alleged that Anderson sold them unsuitable “alternative” illiquid investments. The customer alleged losses of $30,000 in these alternative investments.

Phillip Anderson has been a registered representative of Kingswood Capital Partners from June 2018 to the present. He was also with Wells Fargo from 2010 to March 2017. He has worked at branch offices in Roseville, California.

Brokerage firms like Kingswood Capital Partners 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 California. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view BrokerCheck: Anderson, Phillip BrokerCheck 6.11.21 (1)

If you lost money with Phillip Anderson or Kingswood Capital Partners, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

JEFFREY LARSON Involved In COMPLAINTS of Alternative Investments

Israels & Neuman, PLC — Tue, 15 Jun 2021 19:03:51 GMT

Israels & Neuman, PLC Investigates Jeffrey Larson of Arete Wealth Management ST. LOUIS, MISSOURI – Have you lost money with financial advisor Jeffrey Larson, of Arete Wealth Management in St. Louis, Missouri? We are looking into allegations made against Jeffrey Larson, who has been the subject of 5 customer complaints, one of which was filed in 2021. The recent customers allege that Larson sold them unsuitable “alternative investments”.

Jeffrey Larson was a registered representative of Arete Wealth Management from August 2017 to the present. He has worked at branch offices in St. Louis, Missouri.

Brokerage firms like Arete Wealth Management 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 Missouri. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view BrokerCheck: Larson, j BrokerCheck 6.10.21

If you lost money with Jeffrey Larson or Arete Wealth Management, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

JOHN SWON Allegations of Misappropriating Customer Money

Israels & Neuman, PLC — Tue, 15 Jun 2021 19:02:32 GMT

John Swon Fired by Royal Alliance Associates and Focus Financial BLOOMINGTON, MINNESOTA – Have you lost money with financial advisor John Swon IV of Bloomington, Minnesota? We are investigating allegations made by a former customer of John Swon. Swon was accused by a customer of misappropriating or mismanaging $110,000. Swon was then subsequently terminated by his brokerage firm, Royal Alliance Associates, and his advisory firm, Focus Financial.

John H. Swon was a financial advisor and registered representative of Royal Alliance Associates from 2012 to April 2021. He was also with Focus Financial from October 2012 to April 2021. He worked at a branch office in Bloomington, Minnesota.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Minnesota in the past. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Royal Alliance Associates.

Click to view BrokerCheck: Swon, John BrokerCheck 6.15.21

If you lost money with John Swon, Royal Alliance Associates, or Focus Financial, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

Aaron Israels Appears on Troubleshooter Tom Martino Show – Denver, CO

Israels & Neuman, PLC — Tue, 29 Sep 2020 17:59:00 GMT

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Investment Fraud Attorney, Aaron Israels appears on Tom Martino’s Radio show to discuss Bitcoin Fraud

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Attorney Aaron Israels appeared as a special guest on consumer advocate, Tom Martino’s radio show this week to discuss problems associated with Bitcoin fraud.

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Tom Martino is a consumer advocate and talk radio host. He is also known as “The Troubleshooter”. His nationally syndicated show, “The Troubleshooter Show” airs on KHOW and is based in Denver, Colorado.

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To contact Attorney Aaron Israels, visit www.israelsneuman.com or call us at (720) 599-3505.

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CLICK HERE TO LISTEN TO THE SHOW!

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Attorney David Neuman Receives AV Peer Rating

Israels & Neuman, PLC — Wed, 02 Oct 2019 21:16:20 GMT

Attorney David Neuman Receives Martindale-Hubbell AV Preeminent Peer Review Rating

Attorney David Neuman of the Law Firm of Israels & Neuman, PLC was recently listed as one of the attorneys who has received an AV Preeminent Peer Review Rating from Martindale-Hubbell. The list of the attorneys who received this rating can be found here: https://www.martindale-avvo.com/blog/new-av-rated-attorneys-9-19/. This rating is awarded to lawyers with the highest ethical standards and professional ability, according to Martindale-Hubbell.

Israels & Neuman is a securities arbitration and investment fraud law firm that represents investors who have been harmed by their financial advisor, stockbroker, or securities brokerage firm. Our attorneys have recovered millions of dollars for our clients who have lost money at the hands of their stockbroker, investment adviser, or financial advisor.

CONTACT ATTORNEY DAVID NEUMAN directly at (206) 795-5798 for more information or for a Free & Confidential case review.