<![CDATA[losses - Israels & Neuman, PLC]]> https://www.israelsneuman.com/blog/tags/losses/ Wed, 20 Aug 2025 15:41:51 GMT en-us <![CDATA[RONALD BERG of Innovation Partners is BARRED]]> https://www.israelsneuman.com/blog/ronald-berg-innovation-partners-barred/ https://www.israelsneuman.com/blog/ronald-berg-innovation-partners-barred/ Mon, 10 Jun 2024 17:20:09 GMT Ronald Berg, Formerly with Innovation Partners, Barred from Securities Industry SEVEN OAKS, CALIFORNIA Are you a former client of financial advisor Ronald Berg? The securities and investment fraud law firm of Israels & Neuman is looking into allegations against this advisor, who previously worked with a brokerage firm called Innovation Partners. Mr. Berg was barred…

]]> Ronald Berg, Formerly with Innovation Partners, Barred from Securities Industry

SEVEN OAKS, CALIFORNIA Are you a former client of financial advisor Ronald Berg? The securities and investment fraud law firm of Israels & Neuman is looking into allegations against this advisor, who previously worked with a brokerage firm called Innovation Partners.

Mr. Berg was barred by FINRA after he refused to respond to an investigation. In May 2024, FINRA filed a disclosure on BrokerCheck stating that he made multiple investment recommendations to seniors to invest in private placements, and he also allegedly had involvement in a customer trust. FINRA said that Berg initially provided a partial response to its investigation, but the information and documents he failed to provide were material to the investigation.

Ronald Berg was registered with Innovation Partners from August 2016 to May 2024. He worked in Seven Oaks, California, and Innovation Partners is based in Charlotte, North Carolina.

Israels & Neuman has recovered millions of dollars for investors in the past, including numerous investors in California. Our firm has sued many brokerage firms throughout the country.

FINRA AWC can be found HERE BrokerCheck Report can be found HERE

If you lost money with Ronald Berg, or Innovation Partners, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[LESLIE KERN Subject of Unsuitable Investment Complaints]]> https://www.israelsneuman.com/blog/leslie-kern-unsuitable-investment-complaints/ https://www.israelsneuman.com/blog/leslie-kern-unsuitable-investment-complaints/ Tue, 11 Apr 2023 14:30:42 GMT Leslie Kern, Formerly with D.H. Hill Securities, Subject of Customer Complaints WILMINGTON, NORTH CAROLINA Are you a client of Leslie Kern, with D.H. Hill Securities in Wilmington, North Carolina? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made by FINRA against Leslie Howard Kern. BrokerCheck reveals that Kern was…

]]> Leslie Kern, Formerly with D.H. Hill Securities, Subject of Customer Complaints

WILMINGTON, NORTH CAROLINA

Are you a client of Leslie Kern, with D.H. Hill Securities in Wilmington, North Carolina? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made by FINRA against Leslie Howard Kern.

BrokerCheck reveals that Kern was the subject of two customer complaints since 2022, one of which was filed in February 2023. The February 2023 complaint alleges that he made an unsuitable recommendation for a customer to invest in an asset-backed bond. This allegedly caused $100,000 in damages.

Leslie Howard Kern has been registered with D.H. Hill Securities since January 2016 and works in Wilmington, North Carolina. Kern previously worked for Center Street Securities. Kern has been subject to a total of three customer complaints since 2003.

Brokerage firms and advisors have duties to perform adequate due diligence into a product before selling such to a client. If the firm or broker fails to do so, then they could be responsible for financial damages.

Israels & Neuman represents investors throughout the U.S., including investors in North Carolina.

View Kern, l BrokerCheck 4.10.23

If you lost money with Leslie Kern or D.H. Hill Securities, please Contact Us at 206-795-5798 for a free evaluation of your case.

]]> <![CDATA[Complaints Against NICHOLAS JEMBELIS for Energy 11 Oil and Gas Losses]]> https://www.israelsneuman.com/blog/complaints-nicholas-jembelis-energy-11-oil-and-gas-losses/ https://www.israelsneuman.com/blog/complaints-nicholas-jembelis-energy-11-oil-and-gas-losses/ Tue, 16 Nov 2021 20:38:48 GMT WHITE PLAINS, NEW YORK Have you lost money with financial advisor Nicholas Jembelis, with David Lerner Associates in White Plains, New York? We are looking into allegations made against Nicholas T. Jembelis. Jembelis has been the subject of a customer complaint, which was made within the last year. The complaint alleges losses in Energy 11,…

]]> WHITE PLAINS, NEW YORK Have you lost money with financial advisor Nicholas Jembelis, with David Lerner Associates in White Plains, New York? We are looking into allegations made against Nicholas T. Jembelis. Jembelis has been the subject of a customer complaint, which was made within the last year. The complaint alleges losses in Energy 11, which is an oil and gas investment.

Nicholas Jembelis has been with David Lerner Associates from 1999 to the present. He has worked at branch offices in White Plains, New York.

Brokerage firms like David Lerner 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 York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against David Lerner Associates.

View N. Jembelis BrokerCheck Report

If you lost money with Nicholas Jembelis, David Lerner Associates, Energy 11, or Energy 12, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[Losses with FRANK VAN HOUTEN of Raymond James in Northstar Financial]]> https://www.israelsneuman.com/blog/frank-van-houten-raymond-james-northstar-financial/ https://www.israelsneuman.com/blog/frank-van-houten-raymond-james-northstar-financial/ Tue, 16 Nov 2021 19:31:53 GMT RESTON, VIRGINIA Have you lost money with financial advisor Frank Van Houten, formerly with Raymond James Financial and now with Citigroup in Reston, Virginia? We are looking into allegations made against Frank Van Houten. Van Houten has been the subject of a recent customer complaint. The complaint alleges an unsuitable investment in an offshore product…

]]> RESTON, VIRGINIA Have you lost money with financial advisor Frank Van Houten, formerly with Raymond James Financial and now with Citigroup in Reston, Virginia? We are looking into allegations made against Frank Van Houten. Van Houten has been the subject of a recent customer complaint. The complaint alleges an unsuitable investment in an offshore product called Northstar Financial Services, whose issuer is under liquidation order.

Frank Van Houten was with Raymond James Financial from June 2014 to October 2017 and again from December 2018 to January 2020. He had been with LPL Financial from January 2020 to August 2021. He has worked at branch offices in Reston, Virginia.

Brokerage firms like Raymond James Financial 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 Virginia. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Raymond James Financial.

View F. Van Houten BrokerCheck Report

If you lost money with Frank Van Houten, Northstar Financial, or Raymond James Financial, 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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