Have you lost money with financial advisor Jorge Netto of Miami, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jorge Netto. FINRA seeks to punish Netto regarding allegations that he engaged in an undisclosed outside business activity. Netto allegedly recommended that customers liquidate securities to invest in a marijuana warehouse that Netto indirectly owned.

Jorge Netto has been a financial advisor and registered representative of Boreal Capital Securities (formerly known as Mora WM Securities) from April 2017 to the present. He was previously with Northeast Securities from February 2014 to April 2017. He worked at a branch office in Miami, Florida. Netto has been the subject of three customer complaints.

Brokerage firms like Boreal Capital 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; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida in the past. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

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If you lost money with Jorge Netto, Boreal Capital Securities, or Mora WM Securities, please CONTACT ISRAELS & NEUMAN at 720-599-3505 or 206-795-5798 for a free evaluation of your case.

Brian Pearce was a registered representative of FSC Securities Corp. from November 2012 to August 2018. He was also with World Equity Group from June 2019 to May 2021. He has worked at branch offices in Winter Haven, Florida.

Brokerage firms like FSC Securities Corp. 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 Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view Brian Pearce BrokerCheck Report

If you lost money with Brian Pearce or FSC Securities Corp., contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

Felix Chu was a registered representative of New York Life from 1994 to March 2019. He has worked at branch offices in Pleasant Hill, California. Chu was also barred from the securities industry by FINRA in 2019.

Brokerage firms like New York Life 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 California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against New York Life.

View Felix Chu BrokerCheck Report

If you lost money with Felix Chu or New York Life, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

We are looking into allegations made against Mark Cline, who has been the subject of thirteen (13) customer complaints, one of which was filed within the last year. The recent customer alleged that Cline sold unsuitable investments in private placements, alleging $400,000 in losses.

Mark Cline has been a registered representative of National Securities Corp. from 2014 to the present. He worked at branch offices in Wildwood, Florida.

Brokerage firms like National Securities Corp. 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 Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against National Securities Corp.

View Mark Cline BrokerCheck Report

If you lost money with Mark Cline or National Securities Corp., contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

Have you lost money with financial advisor Gary M. Bowman, of SagePoint Financial in Corona, California? The Law Firm of Israels & Neuman may be able to assist you in recovering investment losses. We are looking into allegations made against Gary Bowman by FINRA which suspended Bowman from the securities industry for three months and fined him $10,000. Bowman was alleged to have engaged in an unsuitable pattern of trading UITs, or unit investment trusts. Bowman was alleged to have traded 4,200 UITs more than 100 days prior to maturity, costing investors more sales charges.

Gary Bowman has been a registered representative of SagePoint Financial from February 2013 to the present. He has worked at branch offices in Corona, California.

Brokerage firms like SagePoint 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 Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against SagePoint Financial.

View Gary Bowman BrokerCheck Report

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

Have you lost money with financial advisor Les Leroy Barber Jr., of Royal Alliance in South Jordan, Utah? The Law Firm of Israels & Neuman is looking into allegations made against Les Barber, who has been the subject of four customer complaints, three of which were filed within the last year. The customers alleged that Barber sold unsuitable investments in BDCs (business development companies), REITs (real estate investment trusts), and private investments. The investors alleged a combined loss over $1.2 million in the BDCs, REITs, and private investments.

Les Leroy Barber has been a registered representative of Royal Alliance from 2013 to the present. He has worked at branch offices in South Jordan, Utah. Barber was previously terminated by Lincoln Financial in 2013.

Brokerage firms like Royal Alliance 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 Utah and the Salt Lake City area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Royal Alliance.

View Les Barber BrokerCheck Report

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