RONALD SAGASSER of Western and Southern Life Insurance is BARRED

Israels & Neuman, PLC — Fri, 07 Jul 2023 20:53:56 GMT

Ronald Sagasser, Formerly with Western and Southern Life Insurance, Barred from Securities Industry

MIAMISBURG, OHIO

Have you invested with advisor Ronald Sagasser in Miamisburg, Ohio? Our investment fraud law firm is looking into claims made against Ronald Sagasser. He was recently barred by FINRA from the securities industry because he failed to respond to a FINRA investigation. The investigation started when Sagasser was fired by W&S Brokerage Services (an affiliate of Western and Southern Life Insurance) in June 2022 for borrowing money from an insurance client and creating and signing a promissory note with that client.

Ronald Sagasser had been a broker with W&S Brokerage Services from May 2018 to June 2022. He worked in Miamisburg, Ohio.

Under FINRA’s rules, including Rule 8210, Ron Sagasser must respond to FINRA investigations. Likewise, W&S Brokerage Services must adequately monitor the conduct of its advisors. If it failed to adequately supervise their advisors, the firm could be responsible for financial losses.

Israels & Neuman is an investment fraud and securities arbitration law firm that has represented over 1,000 investors in the past. We represent investors throughout the country, including in Ohio.

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View Sagasser, r BrokerCheck 7.7.23

If you lost money with Ronald Sagasser or Western and Southern Life Insurance, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

WARNING: William LeBoeuf of Merrill Lynch and Cetera SUSPENDED

Israels & Neuman, PLC — 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 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.

Miamisburg - Israels & Neuman, PLC