Have you lost money with advisor Justin Pagel, formerly with Feltl & Company in Plymouth, Minnesota? Our investment fraud law firm is reviewing claims made by FINRA against this advisor, who was suspended from the securities industry for ten months.

FINRA alleged that Mr. Pagel recommended that four customers invest a significant portion of their assets in speculative, high-risk stocks. FINRA also alleged that he engaged in unsuitable short-term trading.

Justin William Pagel was a representative of Feltl & Company from August 2011 to May 2024. He worked in a Plymouth, Minnesota office. He has also been the subject of five customer complaints from 1998 to 2020.

Israels & Neuman is an investment fraud law firm with offices in Seattle, Phoenix, Grand Rapids, and Ann Arbor. We represent clients throughout the U.S., including investors in Minnesota.

To see the FINRA AWC against Justin Pagel, please click HERE.

You can find Justin Pagel’s BrokerCheck Report HERE.

If you lost money with Justin William Pagel or Feltl & Company, please Contact Us at 616-280-4303 or 206-795-5798 for a free evaluation of your case.

NORTH OAKS, MINNESOTA Have you lost money investing with Randy Birkinbine of Ausdal Financial Partners in North Oaks, Minnesota? According to Brokercheck, Ausdal Financial Partners has been named as a party in three cases filed in 2024, and Mr. Birkinbine was the subject of those complaints. It was alleged that he made unsuitable investment recommendations in GWG, as well as oil and gas investments, REITs (real estate investment trusts), and UITs (unit investment trusts).

Randy Birkinbine has been affiliated with Ausdal Financial Partners from June 2011 to the present. He worked in a North Oaks, Minnesota office. In addition to the three customer complaints mentioned above, he has been the subject of five other customer complaints since 2013, and has also had five tax liens since 2009.

FINRA Rule 2111 discusses suitability: advisors must make suitable investment recommendations to customers in accordance with the investors’ risk tolerance, investment objectives, net worth, age, and other factors. If the advisor violates Rule 2111, the advisor and/or the brokerage firm can be liable for investor losses.

Israels & Neuman PLC handles a number of cases in FINRA arbitration. We have previously represented numerous investors in Minnesota and the Twin City area.

View BrokerCheck report HERE.

If you lost money with Randy Birkinbine or Ausdal Financial Partners, please Contact Us at 720-599-3505 for a free evaluation of your case.

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.

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.

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; 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.