GRAND RAPIDS, MICHIGAN Did you invest with advisor Maria De Los Angeles Leon in Grand Rapids, Michigan? Israels & Neuman is reviewing claims made against this advisor, who was affiliated with PNC Investments from June 2022 to September 2024. She was barred from the securities industry by FINRA when she refused to respond to a FINRA investigation.

Ms. Leon was under a FINRA investigation after she was fired by PNC Investments. It was alleged that she misappropriated or stole customer funds.

Maria De Los Angeles Leon was registered with PNC Investments. She was also previously registered with J.P. Morgan and worked in Grand Rapids, Michigan and Chicago, Illinois.

PNC Investments has an obligation to reasonably supervise the conduct of its advisors. If they don’t, they could be liable for investor losses. Our law firm that has recovered millions of dollars for investors in the past, including numerous investors in Michigan. Attorney Aaron Israels grew up in nearby Holland, Michigan and is licensed to practice law in Michigan.

VIEW FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

If you lost money with Maria De Los Angeles Leon, or PNC Investments, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

GRAND RAPIDS, MICHIGAN Have you invested with advisor Jody Vander Weide from Grand Rapids, Michigan? Mr. Vander Weide was fired by his brokerage firm, Sigma Financial, in March 2024. According to FINRA’s BrokerCheck Report (linked below), he was fired regarding allegations that he engaged in an undisclosed outside business activity as an unlicensed investment adviser representative.

Jody Vander Weide worked in a Grand Rapids, Michigan office and was licensed with Sigma Financial from 2006 to March 2024. He then started with Osaic Wealth in July 2024.

Brokers are required to disclose outside business activities pursuant to FINRA Rule 3270. Moreover, under FINRA Rule 3110, Sigma Financial is required to have written supervisory and compliance procedures. If the brokerage firm failed to reasonably supervise its Agent, it may be held liable for customer losses.

Our firm has represented numerous investors throughout Michigan and have sued dozens of brokerage firms in the past. Attorney Aaron Israels is licensed to practice law in Michigan and grew up in Holland, Michigan.

VIEW BROKERCHECK REPORT HERE.

If you lost money with Jody Vander Weide or Sigma Financial, please Contact Us at (720) 599-3505 or (206) 795-5798 for a free evaluation of your case.

BLOOMFIELD HILLS, MICHIGAN Are you a former customer of Imdadur Rahman (also known as Gino Rahman) in Bloomfield Hills, Michigan? Our firm is reviewing claims made against this advisor, who was formerly a representative of Merrill Lynch. FINRA made several allegations against Mr. Rahman in its Letter of Acceptance, Waiver, and Consent.

It was alleged that he facilitated an elderly customer’s designation of Rahman’s wife to be listed as a beneficiary of the customer’s two Merrill Lynch accounts. He also falsified forms by saying that his wife was the customer’s niece. Rahman also allegedly received $116,000 to run errands for the customer, as well as receiving $47,000 in “gifts” from the customer. FINRA barred Rahman after these allegations.

Imdadur Rahman had been licensed with Merrill Lynch from 2008 to October 2023. He was later affiliated with L.M. Kohn & Company. He worked in Bloomfield Hills, Michigan, and was terminated by Merrill Lynch regarding these allegations.

Merrill Lynch must reasonably supervise the acts of its representatives. If the firm fails to do so, it could be responsible for investor losses. Our law firm has recovered millions of dollars for investors in the past, including investors in Michigan.

View FINRA AWC HERE View BrokerCheck Report HERE

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

SOUTHFIELD, MICHIGAN Have you invested with John Bussa from Southfield, Michigan? Our firm is reviewing allegations made by several customers who have filed claims against his brokerage firm, Lincoln Financial Advisors.

Bussa has been the subject of eight customer complaints, two of which are still pending. The most recent complaint alleges that he sold an unsuitable oil and gas investment. The oil and gas investment allegedly lost $100,000. Another pending complaint involves the sale of a REIT – a real estate investment trust.

John Bussa has worked in a Southfield, Michigan office for Lincoln Financial Advisors since 2001. Bussa also operates JMB & Associates in Southfield.

Investment advisors are required to make investment recommendations that are suitable for the customer, under FINRA Rule 2111. Brokerage firms must perform due diligence on all investment products it sells. If it failed to adequately perform due diligence, they could be liable for investor losses.

BrokerCheck report can be seen HERE

If you lost money with John Bussa or Lincoln Financial Advisors, please Contact Us at 206-795-5798 for a free evaluation of your case.

GRAND RAPIDS, MICHIGAN Are you a former customer of Michael Gravelyn in Grand Rapids, Michigan? Our firm is reviewing claims made against this advisor. FINRA began its investigation after he was “permitted to resign” by Northwestern Mutual in April 2023.

According to Northwestern Mutual, the resignation was made while Gravelyn was under internal investigation for processing multiple client bank account drafts without client authorization. Since then, the brokerage firm has settled ten small claims made regarding Gravelyn. He refused to respond to FINRA’s investigation, which led to his expulsion from the securities industry.

Michael Gravelyn had been licensed with Northwestern Mutual from 2017 to April 2023. He worked in Grand Rapids, Michigan.

Brokerage firms are required to sufficiently monitor the acts of its representatives. If the firm fails to do so, it could be responsible for investor losses. Our law firm has recovered millions of dollars for investors in the past, including numerous investors in Michigan. Attorney Aaron Israels grew up in Holland, Michigan and still maintains his Michigan law license.

View FINRA AWC HERE View BrokerCheck Report HERE

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

FARMINGTON HILLS, MICHIGAN Did you invest with Gary Harpe, formerly with PFS Investments (Primerica) in Farmington Hills, Michigan? Our securities arbitration law firm is looking into claims made by FINRA (the Financial Industry Regulatory Authority) against advisor Gary Harpe. FINRA brought a complaint seeking to expel him from the securities industry.

FINRA started looking into Gary Harpe after he was criminally charged with larceny by conversion in Farmington Hills, Michigan for more than $1,000 but less than $20,000. He has pleaded not guilty, and the case is still pending. Harpe was terminated by PFS Investments (also known as Primerica) in 2023, and was with PFS Investments from 1998 to January 2023.

FINRA Rule 821 provides that advisors are required to respond to FINRA investigations. Additionally, under FINRA’s supervisory rules, securities brokerage firms must adequately supervise their representatives. If firms like PFS Investments fail to provide sufficient supervision, the firms could be responsible for financial damages.

Our firm has an office in Ann Arbor, Michigan and regularly represents investors in the greater Detroit area. Moreover, attorney Aaron Israels went to law school in Detroit and began his law practice in Michigan.

If you lost money with Gary Harpe or PFS Investments, please Contact Us at 206-795-5798 for a free evaluation of your case.

View FINRA’s Complaint HERE View BrokerCheck Report HERE

TRAVERSE CITY, MICHIGAN As of November 2023, Royal Gregory Fisher has been suspended by FINRA. He previously worked with SagePoint Financial and now works with McNally Financial Services. He was suspended for two months and fined $5,000.

FINRA alleged that Fisher circumvented compliance procedures with SagePoint Financial and acted as a Power of Attorney for a customer who was not a relative, acted as a Trustee of the customer’s account, and was named a Beneficiary of the customer’s trust. In particular, Mr. Fisher stood to inherit $100,000 from the customer’s Trust, and is also the executor of the customer’s estate.

Royal Gregory Fisher worked in Traverse City, Michigan. He was licensed with SagePoint Financial from 2008 to April 2021, and with McNally Financial Services from April 2021 to the present. He was also fired by SagePoint Financial regarding these allegations, and was also the subject of a 2023 customer complaint.

Stockbrokers like Royal Gregory Fisher must respond to comply with internal procedures of their brokerage firms. A failure to do so could result in liability to affected customers.

Our securities arbitration law firm represents investors throughout Michigan. We have an office in Ann Arbor, and attorney Aaron Israels maintains his law license in Michigan.

Fisher’s BrokerCheck report can be found HERE. Fisher’s FINRA AWC can be found HERE.

If you lost money with Royal Fisher or SagePoint Financial, please Contact Us at (206) 795-5798 for a free evaluation of your case.

Have you lost money with financial advisor Steven Muntin from Flint, Michigan? We are looking into allegations against Steven Muntin by the SEC. Muntin was civilly charged with defrauding an investor. Muntin used his company Executive Asset Management to charge a customer over $300,000 but never actually invested the money. Instead, the money was used on his mortgage, health insurance, boat and car loans, and credit card bills.

Steven Muntin was with Taylor & Morgan Asset Management from December 2015 to February 2020. He worked out of a branch office in Flint, Michigan. Muntin has also been the subject of at least two customer complaints and six tax liens.

Advisory firms like Taylor & Morgan Asset Management have a responsibility to adequately supervise all representatives who are registered through their firm. Advisory firms also must take steps to ensure that their advisors follow all securities rules and regulations. When advisory firms fail to adequately supervise their 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 Ann Arbor, Michigan; Denver, Colorado; Seattle, Washington; and Phoenix, Arizona. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Michigan. Attorney Aaron Israels grew up in Michigan, is licensed to practice law in Michigan, and previously practiced in the Detroit area. Our attorneys have represented over one thousand investors against many brokerage and advisory firms in the past.

View S. Muntin BrokerCheck Report

If you have lost money with Steven Muntin or Taylor & Morgan Asset Management, and want to hear about ALL legal options, CONTACT ISRAELS & NEUMAN LAW at 720-599-3505.

Clark Harris was a registered representative of Sigma Financial from 2000 to April 2021. He has worked at branch offices in Bloomfield Hills, Michigan. Harris was also affiliated with Titan Wealth Advisors.

Brokerage firms like Sigma 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 Ann Arbor, Michigan; Denver, Colorado; Seattle, Washington; and Phoenix, Arizona. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Michigan. Attorney Aaron Israels is licensed to practice law in Michigan, grew up in Holland, Michigan, and previously lived in the Detroit area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Sigma Financial.

Click to view BrokerCheck: Harris, Clark BrokerCheck 6.16.21

If you lost money with Clark Harris or Sigma Financial, please CONTACT ISRAELS & NEUMAN at 720-599-3505 or 206-795-5798 for a free evaluation of your case.