Carlton Fletcher of Dinosaur Financial is Barred

Israels & Neuman, PLC — Wed, 29 Jan 2025 21:01:21 GMT

NEW YORK, NY

Are you a former client of financial advisor Carlton Fletcher in New York, New York? The investment fraud law firm of Israels & Neuman is reviewing allegations made by FINRA against this advisor, who was a representative of Dinosaur Financial Group. He was booted from the securities brokerage industry when he failed to cooperate with a FINRA investigation.

Fletcher was under internal investigation by Dinosaur Financial Group when he resigned in April 2024. The FINRA AWC alleged that the internal investigation involved allegations that Fletcher converted funds of an individual.

Carlton Fletcher was registered with Dinosaur Financial Group from 2010 to April 2024 and worked in New York, New York. He also was the subject of a Utah Division of Securities investigation in 2000, as well as an NASD investigation in 2001.

Israels & Neuman represents investors throughout the country in cases involving financial advisors, securities brokerage firms, and investment advisory firms.

FINRA’s AWC Regarding Carlton Fletcher can be found HERE

Carlton Fletcher’s BrokerCheck Report can be found HERE

If you lost money with Carlton Fletcher or Dinosaur Financial Group, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

RAY REESE of Money Concepts Capital Subject of Several COMPLAINTS

Israels & Neuman, PLC — Wed, 14 Jun 2023 17:55:53 GMT

Ray Reese, with Money Concepts Capital, Subject of Several Complaints

FARMINGTON, MISSOURI Have you invested with stockbroker Ray Reese in Farmington, Missouri? The investment fraud and FINRA arbitration law firm of Israels & Neuman is looking into claims made against Ray Reese, with Money Concepts Capital. Ray Reese has been the subject of seven customer complaints, including four of which have been made since 2020.

According to BrokerCheck, a complaint was filed in May 2023 alleging that Reese breached his fiduciary duty and made unsuitable investment recommendations in connection with investments in real estate and private placements. The real estate and private placement investments allegedly lost $450,000.

FINRA Rule 2111 states that stockbrokers must make investment recommendations that are suitable for the customer considering their age, risk tolerance, investment objectives, and other factors. Failure to abide by FINRA’s suitability rules can subject the broker and his/her firm to liability for losses.

Our law firm has previously sued Money Concepts Capital, and we previously have represented investors in Missouri.

View Reese, r BrokerCheck 6.12.23

If you lost money with Ray Reese or Money Concepts Capital, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.