<![CDATA[lost money - Israels & Neuman, PLC]]> https://www.israelsneuman.com/blog/tags/lost-money/ Wed, 20 Aug 2025 15:41:51 GMT en-us <![CDATA[DANIEL JAMES O’NEILL of Aegis is SUSPENDED for Excessive Trading]]> https://www.israelsneuman.com/blog/daniel-james-oneill-aegis-fraud/ https://www.israelsneuman.com/blog/daniel-james-oneill-aegis-fraud/ Fri, 10 Dec 2021 21:17:31 GMT MELVILLE, NY Have you lost money with financial advisor Daniel James O’Neill of Aegis Capital in Melville, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel James O’Neill. Earlier in 2021, FINRA has named O’Neill in a regulatory complaint, alleging that O’Neill excessively traded or churned customer accounts.…

]]> MELVILLE, NY

Have you lost money with financial advisor Daniel James O’Neill of Aegis Capital in Melville, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel James O’Neill. Earlier in 2021, FINRA has named O’Neill in a regulatory complaint, alleging that O’Neill excessively traded or churned customer accounts. The excessive trading allegedly happened from July 2014 to June 2015. Customers may be able to recover their losses.

In December 2021, FINRA found that O’Neill engaged in excessive trading. O’Neill was suspended from the securities industry for six months. FINRA also considered fining O’Neill, but O’Neill submitted an affidavit showing a lack of ability to pay a fine.

Daniel O’Neill was a financial advisor and registered representative of Aegis Capital from April 2013 to July 2021. He worked at a branch office in Melville, New York. O’Neill has been the subject of at least two customer complaints and several tax liens.

Brokerage firms like Aegis Capital 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; Phoenix, Arizona; Seattle, Washington; 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 Aegis Capital.

Click HERE to view O’Neill BrokerCheck Report

If you lost money with Daniel O’Neill or Aegis Capital, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[Investigation of JASON GAROFALO and Ameriprise Financial]]> https://www.israelsneuman.com/blog/investigation-jason-garofalo-ameriprise/ https://www.israelsneuman.com/blog/investigation-jason-garofalo-ameriprise/ Thu, 02 Dec 2021 21:44:11 GMT LAS VEGAS, NEVADA Have you lost money with financial advisor Jason Garofalo, with Ameriprise Financial Services, in Las Vegas, Nevada? We are looking into allegations made against Jason Garofalo. Garofalo has been the subject of a recent customer complaint. Garofalo was alleged to have sold unsuitable investments in non-traded REITs (real estate investment trusts) like…

]]> LAS VEGAS, NEVADA

Have you lost money with financial advisor Jason Garofalo, with Ameriprise Financial Services, in Las Vegas, Nevada? We are looking into allegations made against Jason Garofalo. Garofalo has been the subject of a recent customer complaint. Garofalo was alleged to have sold unsuitable investments in non-traded REITs (real estate investment trusts) like Hospitality Investors Trust and Inventrust Properties. These REITs alleged caused $150,000 in damages.

Jason Garofalo has been a financial advisor and registered representative of Ameriprise Financial Services from November 2015 to the present. He worked at a branch office in Las Vegas, Nevada. Garofalo was also the subject of a complaint in 2012 that resulted in a $668,000 award against his former firm.

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

Click here to view Garofalo, J. BrokerCheck Report

If you lost money with Jason Garofalo or Ameriprise Financial Services, please Contact Us at 720-599-3505 for a free evaluation of your case.

]]> <![CDATA[Warning! DOUGLAS ROSENBERG of Joseph Stone is SUSPENDED]]> https://www.israelsneuman.com/blog/douglas-rosenberg-joseph-stone-suspended/ https://www.israelsneuman.com/blog/douglas-rosenberg-joseph-stone-suspended/ Wed, 01 Dec 2021 21:49:50 GMT HAUPPAUGE, NEW YORK Have you lost money with financial advisor Douglas Rosenberg, with Joseph Stone Capital in Hauppauge, New York? We are looking into allegations made against Douglas J. Rosenberg. Rosenberg was the subject of an investigation by FINRA. FINRA investigated whether Rosenberg had been excessively trading or churning customer accounts. To settle these allegations,…

]]> HAUPPAUGE, NEW YORK Have you lost money with financial advisor Douglas Rosenberg, with Joseph Stone Capital in Hauppauge, New York? We are looking into allegations made against Douglas J. Rosenberg. Rosenberg was the subject of an investigation by FINRA. FINRA investigated whether Rosenberg had been excessively trading or churning customer accounts. To settle these allegations, Rosenberg was suspended for seven months and ordered to pay partial restitution of $25,000.

Douglas Rosenberg has been with Joseph Stone Capital from November 2013 to the present. He has worked at branch offices in Hauppauge, New York. Rosenberg has also been the subject of four customer complaints.

Brokerage firms like Joseph Stone Capital 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 Joseph Stone Capital.

Click Here to view Rosenberg, D BrokerCheck Report

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

]]> <![CDATA[WARNING: Investigation of MARIANNE SMITH of Cetera Advisors]]> https://www.israelsneuman.com/blog/marianne-smith-complaints-cetera-advisors/ https://www.israelsneuman.com/blog/marianne-smith-complaints-cetera-advisors/ Mon, 29 Nov 2021 18:09:00 GMT AVON, CONNECTICUT Have you lost money with financial advisor Marianne Smith, formerly of Cetera Advisors in Avon, Connecticut? We are looking into allegations made against Marianne Oshee Smith. FINRA began investigating Smith regarding allegations that she converted $43,900 from a customer. The funds were alleged to have been used to purchase mutual funds for Smith’s…

]]> AVON, CONNECTICUT Have you lost money with financial advisor Marianne Smith, formerly of Cetera Advisors in Avon, Connecticut? We are looking into allegations made against Marianne Oshee Smith. FINRA began investigating Smith regarding allegations that she converted $43,900 from a customer. The funds were alleged to have been used to purchase mutual funds for Smith’s son.

Marianne Smith was a registered representative of Cetera Advisors from October 2016 to June 2011. She has worked at branch offices in Avon, Connecticut. Smith has also been the subject of two customer complaints.

Brokerage firms like Cetera Advisors 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 Connecticut. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Cetera Advisors.

View Smith, M BrokerCheck Report

If you lost money with Marianne Smith or Cetera Advisors, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[HAYK PAPOYAN of MML Investors Under FINRA Investigation]]> https://www.israelsneuman.com/blog/hayk-papoyan-mml-investors-finra-investigation/ https://www.israelsneuman.com/blog/hayk-papoyan-mml-investors-finra-investigation/ Sun, 28 Nov 2021 20:08:21 GMT VAN NUYS, CALIFORNIA Have you lost money with financial advisor Hayk Papoyan, formerly of MML Investors Services in Van Nuys, California? We are looking into allegations made against Hayk Papoyan. FINRA began investigating Papoyan regarding an alleged undisclosed brokerage account. Papoyan was also terminated in July 2021 by MML Investors Services regarding an undisclosed outside…

]]> VAN NUYS, CALIFORNIA

Have you lost money with financial advisor Hayk Papoyan, formerly of MML Investors Services in Van Nuys, California? We are looking into allegations made against Hayk Papoyan. FINRA began investigating Papoyan regarding an alleged undisclosed brokerage account. Papoyan was also terminated in July 2021 by MML Investors Services regarding an undisclosed outside business activity.

Hayk Papoyan was a registered representative of MML Investors Services from 2004 to July 2021. He has worked at branch offices in Van Nuys, California.

Brokerage firms like MML Investors 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; 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, including against MML Investors Services.

View Papoyan, H. BrokerCheck Report

If you lost money with Hayk Papoyan or MML Investors Services, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[WARNING: William LeBoeuf of Merrill Lynch and Cetera SUSPENDED]]> https://www.israelsneuman.com/blog/william-leboeuf-merrill-lynch-cetera-suspended/ https://www.israelsneuman.com/blog/william-leboeuf-merrill-lynch-cetera-suspended/ Wed, 24 Nov 2021 22:22:45 GMT MIAMISBURG, OHIO Have you lost money with financial advisor William LeBoeuf, formerly with Merrill Lynch, in Miamisburg, Ohio? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William LeBoeuf. FINRA suspended LeBoeuf from the securities industry for one year and fined him $12,500. FINRA was investigating LeBoeuf for allegations that he…

]]> MIAMISBURG, OHIO

Have you lost money with financial advisor William LeBoeuf, formerly with Merrill Lynch, in Miamisburg, Ohio? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William LeBoeuf. FINRA suspended LeBoeuf from the securities industry for one year and fined him $12,500. FINRA was investigating LeBoeuf for allegations that he engaged in undisclosed outside business activities and private securities transactions.

LeBoeuf allegedly created Accelerate Capital Partners LLC, the purpose of which was to facilitate investments in another company. LeBoeuf also solicited investments in the company to 12 investors. In August 2019, three investors invested $750,000 in the company’s promissory notes.

William LeBoeuf was a financial advisor and registered representative of Merrill Lynch from 2009 to March 2019. He was also with Cetera Advisor Networks from March 2019 to December 2019. He worked at a branch office in Miamisburg, Ohio. He was also terminated by Cetera Advisor Networks in 2019, and he was also a board member of Consumer Optix.

Brokerage firms like Merrill Lynch and Cetera Advisor Networks 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; Ann Arbor, Michigan; Phoenix, Arizona; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Ohio. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Merrill Lynch and Cetera Advisor Networks.

VIew LeBoeuf, W. BrokerCheck Report

If you lost money with William LeBoeuf, Cetera Advisor Networks, or Merrill Lynch, please Contact Us at 720-599-3505 for a free evaluation of your case.

]]> <![CDATA[UPDATE! JAMES SIMPSON of Equitable (AXA) Advisors is BARRED]]> https://www.israelsneuman.com/blog/update-james-simpson-equitable-axa-advisors-barred/ https://www.israelsneuman.com/blog/update-james-simpson-equitable-axa-advisors-barred/ Tue, 23 Nov 2021 18:42:29 GMT James Simpson, Formerly with Equitable (AXA) Advisors, Already Facing Federal Fraud Charges, Now Barred by FINRA TOLEDO, OHIO Have you lost money with financial advisor James Simpson, formerly with Equitable Advisors (previously AXA Advisors) in Toledo, Ohio? We are continuing to look into allegations made against James Earl Simpson. In November 2021, Simpson was barred…

]]> James Simpson, Formerly with Equitable (AXA) Advisors, Already Facing Federal Fraud Charges, Now Barred by FINRA

TOLEDO, OHIO Have you lost money with financial advisor James Simpson, formerly with Equitable Advisors (previously AXA Advisors) in Toledo, Ohio? We are continuing to look into allegations made against James Earl Simpson. In November 2021, Simpson was barred from the securities industry by FINRA. FINRA barred Simpson after he failed to respond to its investigation concerning his recent fraud charges.

In September 2021, Simpson was charged with fraud by the U.S. Attorney’s Office for the Northern District of Ohio. Simpson was alleged to have misappropriated $400,000. Simpson was “permitted to resign” by Equitable Advisors in August 2021. It was alleged that Simpson misappropriated client funds and allegedly sold an unsuitable annuity.

James Simpson was with Equitable Advisors (formerly AXA Advisors) from 1980 to August 2021. He has worked at branch offices in Toledo, Ohio. Simpson was also the subject of two customer complaints.

Brokerage firms like Equitable Advisors 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 Ohio. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

If you lost money with James Simpson or Equitable (AXA) Advisors, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[Investment Losses with JEREMIAH ROMAN of PFS Investments]]> https://www.israelsneuman.com/blog/jeremiah-roman-losses-pfs-investments/ https://www.israelsneuman.com/blog/jeremiah-roman-losses-pfs-investments/ Tue, 23 Nov 2021 16:09:26 GMT CORAL SPRINGS, FLORIDA Have you lost money with financial advisor Jeremiah Roman, formerly with PFS Investments, in Coral Springs, Florida? We are look into allegations made against Jeremiah Roman. Roman was terminated by PFS Investments in October 2021. PFS terminated Roman over allegations that he engaged in undisclosed outside business activities and/or private securities transactions.…

]]> CORAL SPRINGS, FLORIDA

Have you lost money with financial advisor Jeremiah Roman, formerly with PFS Investments, in Coral Springs, Florida? We are look into allegations made against Jeremiah Roman. Roman was terminated by PFS Investments in October 2021. PFS terminated Roman over allegations that he engaged in undisclosed outside business activities and/or private securities transactions.

Jeremiah Roman was a financial advisor and registered representative of PFS Investments from June 2014 to October 2021. He worked at a branch office in Coral Springs, Florida. He was also affiliated with Primerica Financial Services.

Brokerage firms like PFS Investments 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; Ann Arbor, Michigan; Phoenix, Arizona; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including PFS Investments.

View Roman, J. BrokerCheck Report

If you lost money with Jeremiah Roman or PFS Investments, please Contact Us at 720-599-3505 for a free evaluation of your case.

]]> <![CDATA[RICHARD ALLEN of Woodbury Financial Accused of Unsuitable Investments]]> https://www.israelsneuman.com/blog/richard-allen-woodbury-financial-unsuitable-investments/ https://www.israelsneuman.com/blog/richard-allen-woodbury-financial-unsuitable-investments/ Thu, 18 Nov 2021 18:30:24 GMT ALPINE, UTAH Have you lost money with financial advisor Richard Allen, with Woodbury Financial in Alpine, Utah? We are looking into allegations made against Richard Ray Allen. Allen has been the subject of two customer complaints, which were made within the last year. One of the complaints alleges that Allen recommended investments in private placements…

]]> ALPINE, UTAH Have you lost money with financial advisor Richard Allen, with Woodbury Financial in Alpine, Utah? We are looking into allegations made against Richard Ray Allen. Allen has been the subject of two customer complaints, which were made within the last year. One of the complaints alleges that Allen recommended investments in private placements and limited partnerships, and that these were not suitable for the investor.

Richard Allen has been with Woodbury Financial from June 2015 to the present. He has worked at branch offices in Alpine, Utah.

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

View R Allen BrokerCheck Report

If you lost money with Richard Allen or Woodbury Financial, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[RODGER THOMAS of SCF Accused of Unsuitable Investments in GPB]]> https://www.israelsneuman.com/blog/rodger-thomas-scf-unsuitable-investments-in-gpb/ https://www.israelsneuman.com/blog/rodger-thomas-scf-unsuitable-investments-in-gpb/ Wed, 17 Nov 2021 20:44:17 GMT LIVINGSTON, NJ Have you lost money with financial advisor Rodger Thomas, formerly with SCF Securities and now with Newbridge Securities Corp. in Livingston, New Jersey? We are looking into allegations made against Rodger Erik Thomas. Thomas has been the subject of two customer complaints, one of which was filed within the last year. The recent…

]]> LIVINGSTON, NJ Have you lost money with financial advisor Rodger Thomas, formerly with SCF Securities and now with Newbridge Securities Corp. in Livingston, New Jersey? We are looking into allegations made against Rodger Erik Thomas. Thomas has been the subject of two customer complaints, one of which was filed within the last year. The recent complaint alleges that Thomas recommended unsuitable investments in GPB Automotive.

Rodger Thomas was with SCF Securities from December 2016 to August 2018. He was also with Kovack Securities from August 2018 to October 2018 and has been with Newbridge Securities Corp. from October 2018 to the present. He has worked at branch offices in Livingston, New Jersey.

Brokerage firms like SCF Securities and Newbridge 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 Jersey. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against SCF Securities.

View R. Thomas BrokerCheck Report

If you lost money with Rodger Thomas, GPB, SCF Securities, or Newbridge Securities Corp., contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[DONNA HINES of Cetera Involved in FINRA Investigation]]> https://www.israelsneuman.com/blog/donna-hines-cetera-investigation/ https://www.israelsneuman.com/blog/donna-hines-cetera-investigation/ Mon, 15 Nov 2021 20:38:25 GMT CLARKSBURG, WEST VIRGINIA Have you lost money with financial advisor Donna Hines, formerly with Cetera Advisors in Clarksburg, West Virginia? We are looking into allegations made against Donna Jean Hines. Hines was barred from the securities industry by FINRA after she failed to respond to an investigation. FINRA was investigating allegations that Hines facilitated a…

]]> CLARKSBURG, WEST VIRGINIA Have you lost money with financial advisor Donna Hines, formerly with Cetera Advisors in Clarksburg, West Virginia? We are looking into allegations made against Donna Jean Hines. Hines was barred from the securities industry by FINRA after she failed to respond to an investigation. FINRA was investigating allegations that Hines facilitated a customer’s bitcoin investment, for compensation, without disclosing such to her former firm, Cetera Advisors.

Donna Hines was with Cetera Advisors from October 2013 to May 2021. She has worked at branch offices in Clarksburg, West Virginia. Hines was also the subject of four other customer complaints.

Brokerage firms like Cetera Advisors 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 West Virginia. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Cetera Advisors.

View D. Hines BrokerCheck Report

If you lost money with Donna Jean Hines or Cetera Advisors, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[ROBERT WOLFE of Cetera Accused of Unsuitable REIT Investments]]> https://www.israelsneuman.com/blog/robert-wolfe-cetera-unsuitable-reit-investments/ https://www.israelsneuman.com/blog/robert-wolfe-cetera-unsuitable-reit-investments/ Mon, 11 Oct 2021 17:45:00 GMT FORT LAUDERLDALE, FLORIDA Have you lost money with financial advisor Robert Wolfe, formerly with Cetera Advisor Networks and Girard Securities in Fort Lauderdale, Florida? We are looking into allegations made against Robert B. Wolfe. Wolfe has been the subject of five customer complaints, all of which were made within the last year-and-a-half. The complaint alleges…

]]> FORT LAUDERLDALE, FLORIDA Have you lost money with financial advisor Robert Wolfe, formerly with Cetera Advisor Networks and Girard Securities in Fort Lauderdale, Florida? We are looking into allegations made against Robert B. Wolfe. Wolfe has been the subject of five customer complaints, all of which were made within the last year-and-a-half. The complaint alleges losses in real estate investments like REITs (real estate investment trusts) and private placements.

Robert Wolfe was with Cetera Advisor Networks from November 2017 to June 2020. He was also with Girard Securities from 2009 to November 2017 and with Goldman Sachs from July 2020 to the present. He has worked at branch offices in Fort Lauderdale, Florida.

Brokerage firms like Cetera Advisor Networks 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 Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view Wolfe BrokerCheck Report

If you lost money with Robert Wolfe, Cetera Advisor Networks, or Girard Securities, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[JEFFREY DAMPF of PFS Investments Accused of Stealing Money]]> https://www.israelsneuman.com/blog/jeffrey-dampf-pfs-investments-stealing-money/ https://www.israelsneuman.com/blog/jeffrey-dampf-pfs-investments-stealing-money/ Wed, 06 Oct 2021 19:04:45 GMT TOTOWA, NEW JERSEY Have you lost money with financial advisor Jeffrey Dampf, formerly with PFS Investments in Totowa, New Jersey? We are looking into allegations made against Jeffrey Dampf. Dampf was barred from the securities industry after he failed to respond to a FINRA investigation. Jeffrey Dampf was being investigated after it was alleged that…

]]> TOTOWA, NEW JERSEY Have you lost money with financial advisor Jeffrey Dampf, formerly with PFS Investments in Totowa, New Jersey? We are looking into allegations made against Jeffrey Dampf. Dampf was barred from the securities industry after he failed to respond to a FINRA investigation. Jeffrey Dampf was being investigated after it was alleged that Dampf may have been charged with felonies related to taking money from the elderly.

Jeffrey Dampf was with PFS Investments (Primerica) from 2009 to September 2021. He has worked at branch offices in Totowa, New Jersey.

Brokerage firms like PFS Investments 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 PFS Investments (Primerica).

View J. Dampf BrokerCheck Report

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

]]> <![CDATA[Investigation of JOSHUA HELMLE of Integrity Brokerage]]> https://www.israelsneuman.com/blog/joshua-helmle-integrity-brokerage/ https://www.israelsneuman.com/blog/joshua-helmle-integrity-brokerage/ Wed, 06 Oct 2021 17:35:33 GMT MONTEREY PARK, CALIFORNIA Have you lost money with financial advisor Joshua Helmle, formerly with Integrity Brokerage Services in Monterey Park, California? We are looking into allegations made against Joshua Helmle. Helmle has been the subject of two customer complaints, one of which was made within the last year. The complaint alleges losses in private placements…

]]> MONTEREY PARK, CALIFORNIA Have you lost money with financial advisor Joshua Helmle, formerly with Integrity Brokerage Services in Monterey Park, California? We are looking into allegations made against Joshua Helmle. Helmle has been the subject of two customer complaints, one of which was made within the last year. The complaint alleges losses in private placements and limited partnerships.

Joshua Helmle was with Integrity Brokerage Services from 2002 to December 2020. He has worked at branch offices in Monterey Park, California. Helmle was also terminated by Integrity Brokerage Services and he was also barred by FINRA in 2020.

Brokerage firms like Integrity Brokerage 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; 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 Helmle BrokerCheck Report

If you lost money with Joshua Helmle or Integrity Brokerage Services, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[Complaints Against ALBERTO VALDES of Raymond James]]> https://www.israelsneuman.com/blog/complaints-alberto-valdes-raymond-james/ https://www.israelsneuman.com/blog/complaints-alberto-valdes-raymond-james/ Tue, 05 Oct 2021 19:04:23 GMT MIAMI, FLORIDA Have you lost money with financial advisor Alberto Valdes, formerly with Raymond James Financial and now with Citigroup in Miami, Florida? We are looking into allegations made against Alberto Valdes. Valdes has been the subject of two customer complaints, one of which was made within the last year. One of the complaints alleges…

]]> MIAMI, FLORIDA Have you lost money with financial advisor Alberto Valdes, formerly with Raymond James Financial and now with Citigroup in Miami, Florida? We are looking into allegations made against Alberto Valdes. Valdes has been the subject of two customer complaints, one of which was made within the last year. One of the complaints alleges an unsuitable investment in an offshore product called Northstar, whose issuer is under liquidation order.

Alberto Valdes was with Raymond James Financial from July 2016 to January 2018. He has been with Citigroup from January 2018 to the present. He has worked at branch offices in Miami, Florida.

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 Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Raymond James Financial.

View A. Valdes BrokerCheck Report

If you lost money with Alberto Valdes 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.

]]> <![CDATA[DEBORAH HERRMANN of Transamerica Financial BARRED]]> https://www.israelsneuman.com/blog/deborah-herrmann-transamerica-barred/ https://www.israelsneuman.com/blog/deborah-herrmann-transamerica-barred/ Tue, 05 Oct 2021 18:58:23 GMT WHEATON, ILLINOIS Have you lost money with financial advisor Deborah L. Herrmann, formerly with Transamerica Financial Advisors in Wheaton, Illinois? We are looking into allegations made against Deborah Herrmann. Herrmann was barred from the securities industry after she failed to respond to a FINRA investigation. Deborah Herrmann was being investigated after she failed to disclose…

]]> WHEATON, ILLINOIS Have you lost money with financial advisor Deborah L. Herrmann, formerly with Transamerica Financial Advisors in Wheaton, Illinois? We are looking into allegations made against Deborah Herrmann. Herrmann was barred from the securities industry after she failed to respond to a FINRA investigation. Deborah Herrmann was being investigated after she failed to disclose that she was named as a party in civil litigation. It was alleged that Herrmann sold investment notes without disclosing such to her brokerage firm, Transamerica Financial Advisors.

Deborah Herrmann (formerly Deborah Gniech) was with Transamerica Financial Advisors from February 2018 to April 2021. Herrmann was also previously with Farmers Financial Solutions. She has worked at branch offices in Wheaton, Illinois.

Brokerage firms like Transamerica Financial Advisors 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 Illinois. Attorney David Neuman grew up in DuPage County and is licensed to practice law in Illinois. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Transamerica Financial Advisors.

Click here to view D. Herrmann BrokerCheck Report

If you lost money with Deborah Herrmann or Transamerica Financial Advisors, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[Complaints Against LANNY HOWARTER of Crown Capital]]> https://www.israelsneuman.com/blog/complaints-against-lanny-howarter-crown-capital/ https://www.israelsneuman.com/blog/complaints-against-lanny-howarter-crown-capital/ Tue, 05 Oct 2021 18:51:54 GMT SAN DIEGO, CALIFORNIA Have you lost money with financial advisor Lanny Howarter, with Crown Capital Securities in San Diego, California? We are looking into allegations made against Lanny Howarter. Howarter has been the subject of seven customer complaints, three of which were made within the last year. Many of the complaints allege unsuitable investments in…

]]> SAN DIEGO, CALIFORNIA Have you lost money with financial advisor Lanny Howarter, with Crown Capital Securities in San Diego, California? We are looking into allegations made against Lanny Howarter. Howarter has been the subject of seven customer complaints, three of which were made within the last year. Many of the complaints allege unsuitable investments in REITs (real estate investment trusts), BDCs (business development companies), and private placements.

Lanny Howarter has been with Crown Capital Securities from March 2009 to the present. He has worked at branch offices in San Diego, California.

Brokerage firms like Crown Capital 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 California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Crown Capital Securities.

Click here to view Howarter BrokerCheck Report

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

]]> <![CDATA[CYNTHIA GIOVACCHINO of LPL Accused of Unsuitable REITs]]> https://www.israelsneuman.com/blog/cynthia-giovacchino-lpl-reits/ https://www.israelsneuman.com/blog/cynthia-giovacchino-lpl-reits/ Tue, 05 Oct 2021 18:45:05 GMT SHELTON, CONNECTICUT Have you lost money with financial advisor Cynthia Giovacchino, with LPL Financial in Shelton, Connecticut? We are looking into allegations made against Cynthia Giovacchino. Giovacchino has been the subject of four customer complaints, one of which was recently made. Many of the complaints allege unsuitable investments in REITs (real estate investment trusts) and…

]]> SHELTON, CONNECTICUT Have you lost money with financial advisor Cynthia Giovacchino, with LPL Financial in Shelton, Connecticut? We are looking into allegations made against Cynthia Giovacchino. Giovacchino has been the subject of four customer complaints, one of which was recently made. Many of the complaints allege unsuitable investments in REITs (real estate investment trusts) and BDCs (business development companies).

Cynthia Giovacchino has been with LPL Financial from October 2011 to the present. She has worked at branch offices in Shelton, Connecticut.

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

Click here to view C. Giovacchino BrokerCheck Report

If you lost money with Cynthia Giovacchino or LPL Financial, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[UPDATE! Advisor Chad Mackland Charged with FRAUD]]> https://www.israelsneuman.com/blog/update-chad-mackland-fraud/ https://www.israelsneuman.com/blog/update-chad-mackland-fraud/ Tue, 05 Oct 2021 18:36:32 GMT COUNCIL BLUFFS, IOWA Have you lost money with financial advisor Chad M. Mackland of Council Bluffs, Iowa? We are continuing to look into allegations made against Mackland. The SEC recently barred Mackland from the securities industry in any capacity. Mackland was charged with multiple felonies related to insurance sales practices. In March 2021, FINRA, the…

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Have you lost money with financial advisor Chad M. Mackland of Council Bluffs, Iowa? We are continuing to look into allegations made against Mackland. The SEC recently barred Mackland from the securities industry in any capacity. Mackland was charged with multiple felonies related to insurance sales practices.

In March 2021, FINRA, the Financial Industry Regulatory Authority barred Mackland from the securities brokerage industry. Mackland was charged with fraud in Pottawattamie County, Iowa for theft.

Chad Mackland was a financial advisor and registered representative of Northwestern Mutual from 2005 to August 2016. He was also with MML Investors Services from March 2017 to September 2018 and with Lion Street Financial from December 2018 to February 2020. He worked at branch offices in Council Bluffs, Iowa and Omaha, Nebraska. Mackland was also discharged by MassMutual and allowed to resign by Northwestern Mutual.

Brokerage firms like Northwestern Mutual, MML Investors Services, and Lion Street 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 throughout Iowa and Nebraska. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against MML Investors Services.

Click here to view C. Mackland BrokerCheck Report

If you lost money with Chad Mackland, Northwestern Mutual, MML Investors Services, or Lion Street Financial please Contact Us at 720-599-3505 or 206-795-5798 for a free evaluation of your case.

]]> <![CDATA[Investigation of CHRISTOPHER KENNEDY of Western International]]> https://www.israelsneuman.com/blog/christopher-kennedy-western-international/ https://www.israelsneuman.com/blog/christopher-kennedy-western-international/ Mon, 04 Oct 2021 17:25:51 GMT TARZANA, CALIFORNIA Have you lost money with financial advisor Christopher B. Kennedy, formerly with Western International Securities in Tarzana, California? We are looking into allegations made against Christopher Kennedy. Kennedy has been the subject of four customer complaints, three of which were made within the last year. The complaints allege unsuitable options trading that caused…

]]> TARZANA, CALIFORNIA Have you lost money with financial advisor Christopher B. Kennedy, formerly with Western International Securities in Tarzana, California? We are looking into allegations made against Christopher Kennedy. Kennedy has been the subject of four customer complaints, three of which were made within the last year. The complaints allege unsuitable options trading that caused significant losses.

Christopher Kennedy was with Western International Securities from August 2017 to July 2019 and again from December 2019 to August 2021. He has worked at branch offices in Tarzana, California. Kennedy was also terminated by Western International Securities regarding options trading.

Brokerage firms like Western International 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 California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Western International Securities.

Click here to view C. Kennedy BrokerCheck Report

If you lost money with Christopher Kennedy or Western International Securities, 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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