OWENSBORO, KENTUCKY Are you a former customer of stockbroker Robert Gleason Jr., formerly with Cantella & Co. in Owensboro, Kentucky? Gleason, who was affiliated with Cantella & Co. from November 2016 to December 201, was under investigation by the Financial Industry Regulatory Authority (FINRA) for potentially violating FINRA’s Regulation Best Interest rule.

According to the complaint, he violated Regulation Best Interest by excessively trading or churning a customer’s account. The customer had a turnover ratio of 12.93 with a cost-equity ratio of 28%. This means that the customer would have needed to earn a profit of 28% just to break even from the costs of trading.

Robert Gleason was fired by Cantella & Co. in December 2021. He was also the subject of two customer complaints, one of which was made in March 2022.

Our investment fraud law firm represents clients all over the country, including investors in Kentucky. We have represented over one thousand investors against numerous firms.

If you lost money with Robert Gleason or Cantella & Co., please Contact Us at 206-795-5798 for a free evaluation of your case.

View BrokerCheck report HERE View FINRA AWC HERE

INDIAN HARBOUR BEACH, FLORIDA

Have you invested in REITs through Scott Roslonowski at Ameriprise Financial Services in Harbour Beach, Florida? He has been with Ameriprise Financial Services since October 2009.

Scott Roslonowski has been the subject of two customer complaints during 2023 – one made in March 2023, and the other made in July 2023. Both complaints allege that he recommended unsuitable investments in real estate investments, and both also complain about variable annuities and insurance. The complaints are still pending with FINRA.

Scott Roslonowski worked in Indian Harbour Beach, Florida and has been in the securities industry since 2004. He is also registered as an investment advisory representative for Ameriprise.

VIEW BROKERCHECK REPORT HERE.

If you lost money with Scott Roslonowski, Ameriprise Financial Services, or in real estate investments, please Contact Us at (206) 795-5798 for a free evaluation of your case.

SAN GABRIEL, CALIFORNIA

Have you invested with Leo Chien from San Gabriel, California? Our securities arbitration law firm is reviewing claims made by former clients of Leo Li-Yuan Chien, with Cetera Investment Services.

Mr. Chien has been a registered representative of Cetera Investment Services since 2012 in San Gabriel, California. He has been the subject of five customer complaints, four of which have been made since 2021. Each of these recent complaints allege that he recommended unsuitable investments in non-traded REITs, or real estate investment trusts. Three of these cases settled for a combined $345,000, while the fourth case is still pending.

Licensed stockbrokers like Leo Li-Yuan Chien are subject to the rules of FINRA. FINRA Rule 2111 provides that financial advisors make suitable investment recommendations to customers. The brokerage firm and/or advisor can be liable if FINRA Rule 2111 is violated.

Our law firm represents investors throughout the country, including investors in California. We also have previously represented investors against Cetera Investment Services.

VIEW BROKERCHECK REPORT HERE.

If you lost money with Leo Chien or Cetera Investment Services, please Contact Us at 206-795-5798 for a free evaluation of your case.

CLERMONT, FLORIDA

Have you invested in REITs through DH Hill Securities? Our securities arbitration law firm is looking into claims made against advisor, Robert Dechick of Clermont, Florida.

Mr. Dechick has been the subject of five customer complaints since 2020, including two complaints that were made since July 2023. The two recent complaints both allege that he recommended unsuitable investments in real estate investments, and one of the two complaints also complains about an equipment leasing investment. Both complaints are still pending.

According to FINRA’s BrokerCheck, Dechick has worked in Clermont, Florida and has been in the securities industry since 2000. He is also affiliated with the investment advisory firm, DH Hill Advisors.

VIEW BROKERCHECK REPORT HERE.

If you lost money with Robert Dechick, DH Hill Securities, or in real estate investments, please Contact Us at (206) 795-5798 for a free evaluation of your case.

SEATTLE, WASHINGTON

Have you invested with Yong Chang from Seattle, Washington? Our securities arbitration law firm is reviewing claims made by clients of Yong Seok Chang, with Independent Financial Group.

Chang has been a representative of Independent Financial Group since 2008 in Seattle, Washington, as well as a company called U&T Financial. He has been the subject of two customer complaints since November 2021, both of which allege that Chang recommended unsuitable investments in non-traded REITs, or real estate investment trusts.

Financial advisors are subject to the rules of FINRA, the Financial Industry Regulatory Authority. One of these rules is FINRA Rule 2111, which provides that financial advisors make suitable investment recommendations to customers. The brokerage firm and/or advisor can be liable if Rule 2111 is violated.

Our law firm represents investors throughout the country, including investors in Washington. Attorney David Neuman has an office in Seattle and is licensed to practice law in Washington.

VIEW BROKERCHECK REPORT HERE

If you lost money with Yong Chang or Independent Financial Group, please Contact Us at 206-795-5798 for a free evaluation of your case.

PALATINE, ILLINOIS

Have you invested with Stephen Sperling from Palatine, Illinois? Our investment fraud and securities arbitration law firm is reviewing claims made by a former client of Stephen J. Sperling, with Wintrust Investments. View his BrokerCheck Report HERE.

Sperling has been a registered representative of Wintrust Investments since 2007 in Palatine, Illinois. He has been the subject of three customer complaints since 2021 which allege recommendations of unsuitable investments in non-traded REITs, or real estate investment trusts. One complaint made in 2021 was denied by Wintrust Investments, but there are two pending complaints in FINRA arbitration filed in 2023 involving REITs recommended by Sperling.

Licensed stockbrokers are subject to the rules of FINRA, the Financial Industry Regulatory Authority. FINRA Rule 2111 provides that financial advisors must make suitable investment recommendations to customers. The brokerage firm and/or advisor can be liable if Rule 2111 is violated.

Our law firm represents investors throughout the country, including investors in Illinois. Attorney David Neuman grew up in the western suburbs of Chicago and is licensed to practice law in Illinois. We have previously represented investors against Wintrust Investments.

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

OVERLAND PARK, KANSAS

Have you invested with stockbroker Richard Matheis in Overland Park, Kansas? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against Richard Matheis. FINRA’s Disciplinary Database disclosed that he was barred from the securities industry by FINRA in August 2023. View his BrokerCheck Report Here. View the FINRA AWC Here.

Mr. Matheis was expelled from the securities brokerage industry because he failed to respond to an investigation initiated by FINRA. In particular, FINRA was trying to review whether he engaged in any sales practice violations.

J. Richard Matheis was an advisor with Union Capital Company from July 2018 to October 2021. He was also previously with Berthel Fisher & Company, and he worked in a branch office in Overland Park, Kansas. There are two customer complaints on his record, including a complaint about investing in a REIT (real estate investment trust) in 2015.

Israels & Neuman is a securities arbitration law firm that represents clients all over the country. Our law firm that has recovered millions of dollars for investors in the past, including numerous investors in Kansas.

If you lost money with Richard Matheis, or Union Capital Company, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

TALLAHASSEE, FLORIDA

Have you invested in GWG L bonds or the ARC Hospitality Trust through Purshe Kaplan Sterling? Our securities arbitration law firm is looking into claims made against William Horak who has been with Purshe Kaplan Sterling since May 2014.

William Horak has been the subject of three customer complaints since 2021. A 2021 complaint made about ARC Hospitality Trust was withdrawn. However, two other complaints, involving GWG L bonds and ARC Hospitality Trust, are still pending against Purshe Kaplan Sterling.

William S. Horak has worked in Tallahassee, Florida and has been in the securities industry since 1986. He is also affiliated with Wealth Management Corporation, an investment advisory firm.

Israels & Neuman has represented multiple investors in FINRA Arbitration who lost money in GWG L bonds and ARC Hospitality Trust (a non-traded REIT). We also represent investors throughout Florida.

View Horak, W. BrokerCheck 7.25.23

If you lost money with William Horak, Purshe Kaplan Sterling, or GWG, please Contact Us at 720-599-3505 for a free evaluation of your case.

GRAHAM, NORTH CAROLINA Our securities arbitration law firm is looking into allegations made by customers of financial advisor Jason Cook, with Berthel Fisher & Company. Jason Cook, who worked in an office in Graham, North Carolina, has been the subject of three customer complaints, all of which were made since December 2021. The most recent complaint alleges that Cook sold unsuitable investments in oil and gas, as well as real estate. The complaint did not specify how much money was lost in the real estate and oil and gas investments. The two other complaints also dealt with real estate investments.

Jason Cook had been licensed with Berthel Fisher & Company since January 2006. He works in Graham, North Carolina.

Berthel Fisher & Company is a FINRA member firm and must follow FINRA rules, including FINRA Rule 2111 which requires suitable investment recommendations. They also must reasonably supervise their representatives pursuant to FINRA Rule 3110.

Israels & Neuman is a securities arbitration and investment fraud law firm that represents investors all over the country, including investors throughout North Carolina. We have represented over one thousand investors in FINRA arbitration claims, including claims against Berthel Fisher & Company.

View Cook, j BrokerCheck 7.6.23

If you lost money with Jason Cook, Berthel Fisher & Company, or real estate investments, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.