<![CDATA[Securities attorney David Neuman - Israels & Neuman, PLC]]> https://www.israelsneuman.com/blog/tags/securities-attorney-david-neuman/ Wed, 20 Aug 2025 15:41:51 GMT en-us <![CDATA[ED MERCER of Cambridge Investment Research is BARRED]]> https://www.israelsneuman.com/blog/ed-mercer-cambridge-investment-research-barred/ https://www.israelsneuman.com/blog/ed-mercer-cambridge-investment-research-barred/ Thu, 16 Nov 2023 21:00:14 GMT Cambridge Investment Research Advisor Ed Mercer Barred by FINRA CORAL SPRINGS, FLORIDA Are you a former client of Edward Steven Mercer in Coral Springs, Florida? Ed Mercer was barred by FINRA earlier this month. He previously worked with Cambridge Investment Research and LPL Financial and failed to respond to a FINRA investigation. This ultimately led…

]]> Cambridge Investment Research Advisor Ed Mercer Barred by FINRA

CORAL SPRINGS, FLORIDA Are you a former client of Edward Steven Mercer in Coral Springs, Florida? Ed Mercer was barred by FINRA earlier this month. He previously worked with Cambridge Investment Research and LPL Financial and failed to respond to a FINRA investigation. This ultimately led to his suspension.

FINRA began its investigation when Mercer was allegedly involved in selling crypto currency investments to a client away from Cambridge. He refused to cooperate with FINRA’s investigation. He was also “permitted to resign” by his brokerage firm.

Edward Steven Mercer worked in Coral Springs, Florida. He was licensed with Cambridge Investment Research from September 2022 to November 2023. He was also with LPL Financial from December 2021 to September 2022. Mercer had also operated RLA Financial in Coral Springs.

Stockbrokers like Ed Mercer must respond to FINRA’s investigation or face punishment under FINRA Rule 8210.

FINRA AWC can be found HERE. BrokerCheck report can be found HERE.

If you lost money with Ed Mercer or Cambridge Investment Research, please Contact Us at 206-795-5798 for a free evaluation of your case.

]]> <![CDATA[COMPLAINTS Against JOHN SULLIVAN of Brokers International Financial]]> https://www.israelsneuman.com/blog/complaints-john-sullivan-brokers-international-financial/ https://www.israelsneuman.com/blog/complaints-john-sullivan-brokers-international-financial/ Wed, 04 Oct 2023 19:29:34 GMT John Sullivan, Formerly of Brokers International Financial Services, Subject of FINRA Complaint COLUMBIA, MARYLAND Are you a former customer of John Sullivan, formerly with Brokers International Financial Services and International Assets Advisory in Columbia, Maryland? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made by FINRA against John David…

]]> John Sullivan, Formerly of Brokers International Financial Services, Subject of FINRA Complaint

COLUMBIA, MARYLAND

Are you a former customer of John Sullivan, formerly with Brokers International Financial Services and International Assets Advisory in Columbia, Maryland? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made by FINRA against John David Sullivan. FINRA seeks to bar him from the securities brokerage industry because he failed to respond to a FINRA investigation.

FINRA investigated Sullivan after he was terminated by LexAurum Advisors, his investment advisory brokerage firm, in July 2020. He had allegedly taken a loan from a customer of the advisory firm. He was also alleged by FINRA to have engaged in a check kiting scheme. John Sullivan had a securities brokerage license with Brokers International Financial Services from October 2018 to July 2020, and with International Assets Advisory from July 2020 to November 2022.

Pursuant to FINRA Rule 8210, advisors must adequately and timely respond to FINRA investigations. Likewise, FINRA Rule 3110 requires securities brokerage firms to adequately supervise their representatives. If brokerage firms fail to provide sufficient supervision, the firms could be responsible for financial damages.

VIEW FINRA COMPLAINT HERE VIEW BROKERCHECK REPORT HERE

If you lost money with John Sullivan or Brokers International Financial Services, please Contact Us at 206-795-5798 for a free evaluation of your case.

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