ORLANDO, FLORIDA Did you invest in crypto with financial advisor Sherwin Sargeant in Orlando, Florida? Israels & Neuman is looking into claims made by FINRA against this advisor, who was an affiliate of Planmember Securities. He was barred from the securities brokerage industry by FINRA after refusing to cooperate with a FINRA investigation.

FINRA’s Letter of Acceptance, Waiver, and Consent (AWC) alleges that Sargeant was being investigated for undisclosed outside business activities. In particular, FINRA was looking into his involvement with crypto investments. He then refused to comply with FINRA.

Sherwin Sargeant was registered with Planmember Securities from December 2019 to July 2023. He worked in Orlando, Florida. He also operated his own business called Retirement Planning Associates.

Planmember Securities has an obligation to reasonably monitor their financial advisors. If the firm fails to do so, they could be liable for investor losses. Attorney David Neuman is licensed to practice law in Florida, and we have represented over 1,000 investors against brokerage firms.

VIEW FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

If you lost money with Sherwin Sargeant, or Planmember Securities, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

PAHRUMP, NEVADA Did you invest in GWG L bonds through Douglas Nelson, formerly with Kingswood Capital Partners? The securities and investment fraud law firm of Israels & Neuman is looking into claims made against the advisor, who was licensed with Kingswood Capital Partners from July 2018 to October 2022.

An arbitration claim was filed against his brokerage firm in January 2024, alleging that a customer lost $250,000 in GWG. The complaint alleges that the investment in GWG was unsuitable.

According to FINRA, Douglas Duane Nelson worked in Pahrump, Nevada and has been in the securities industry since 2003. He is now affiliated with LPL Financial in Pahrump, and also operates On-Target Planning.

Israels & Neuman has represented multiple investors who lost money in GWG L bonds. We represent investors throughout the country, including Nevada investors.

View BrokerCheck Report HERE

If you lost money with Douglas Nelson, Kingswood Capital Partners, or GWG, please Contact Us at 206-795-5798 for a free evaluation of your case.