We are investigating allegations made by FINRA, the FINRA, the Financial Industry Regulatory Authority, against Eric Carl Willer. FINRA suspended Willer from the securities industry for nine months. It was alleged that Willer recommended to 13 potential investors to purchase bonds in two private placements without having a reasonable basis to believe that the bonds were suitable for any investor.

Eric Carl Willer was a financial advisor and registered representative of Fusion Analytics Securities from August 2015 to June 2020. He worked at a branch office in Dallas, Texas. He was also affiliated with Kestra Investment Services from June 2020 to April 2021.

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

Click HERE to view Willer, E. BrokerCheck Report

Click HERE to view Willer FINRA AWC

If you lost money with Eric Willer or Fusion Analytics Securities, please Contact Us at 720-599-3505 for a free evaluation of your case.

Robert Guidicipietro was with Arive Capital Markets from December 2018 to January 2020. He has been with Alexander Capital from January 2020 to the present. He has worked at branch offices in Bay Ridge, New York. Guidicipietro has also been the subject of six customer complaints and has been under two prior regulatory investigations.

Brokerage firms like Arive Capital Markets 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 New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view Guidicipietro, R. BrokerCheck Report

If you lost money with Robert Guidicipietro or Arive Capital Markets, 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 William LeBoeuf, formerly with Merrill Lynch, in Miamisburg, Ohio? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William LeBoeuf. FINRA suspended LeBoeuf from the securities industry for one year and fined him $12,500. FINRA was investigating LeBoeuf for allegations that he engaged in undisclosed outside business activities and private securities transactions.

LeBoeuf allegedly created Accelerate Capital Partners LLC, the purpose of which was to facilitate investments in another company. LeBoeuf also solicited investments in the company to 12 investors. In August 2019, three investors invested $750,000 in the company’s promissory notes.

William LeBoeuf was a financial advisor and registered representative of Merrill Lynch from 2009 to March 2019. He was also with Cetera Advisor Networks from March 2019 to December 2019. He worked at a branch office in Miamisburg, Ohio. He was also terminated by Cetera Advisor Networks in 2019, and he was also a board member of Consumer Optix.

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

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If you lost money with William LeBoeuf, Cetera Advisor Networks, or Merrill Lynch, please Contact Us at 720-599-3505 for a free evaluation of your case.

TOLEDO, OHIO Have you lost money with financial advisor James Simpson, formerly with Equitable Advisors (previously AXA Advisors) in Toledo, Ohio? We are continuing to look into allegations made against James Earl Simpson. In November 2021, Simpson was barred from the securities industry by FINRA. FINRA barred Simpson after he failed to respond to its investigation concerning his recent fraud charges.

In September 2021, Simpson was charged with fraud by the U.S. Attorney’s Office for the Northern District of Ohio. Simpson was alleged to have misappropriated $400,000. Simpson was “permitted to resign” by Equitable Advisors in August 2021. It was alleged that Simpson misappropriated client funds and allegedly sold an unsuitable annuity.

James Simpson was with Equitable Advisors (formerly AXA Advisors) from 1980 to August 2021. He has worked at branch offices in Toledo, Ohio. Simpson was also the subject of two customer complaints.

Brokerage firms like Equitable Advisors 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 Ohio. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

If you lost money with James Simpson or Equitable (AXA) Advisors, 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 Caroline Mohan, formerly with LPL Financial, in West Palm Beach, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Caroline Mohan, formerly Caroline Reyes. FINRA barred Caroline Reyes Mohan from the securities industry after she failed to respond to a FINRA investigation. FINRA was investigating her for allegations that she engaged in undisclosed outside business activities and private securities transactions. In essence, Reyes Mohan was accused of selling investments that were not approved by LPL Financial.

Caroline Mohan was a financial advisor and registered representative of LPL Financial from July 2017 to March 2021. She worked at a branch office in West Palm Beach, Florida. She was also affiliated with Founders Financial Alliance and Founders Wealth Advisors.

Brokerage firms like LPL 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; Ann Arbor, Michigan; Phoenix, Arizona; and Seattle, Washington. 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 LPL Financial.

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If you lost money with Caroline Mohan or LPL Financial, CONTACT ISRAELS & NEUMAN LAW FIRM at 720-599-3505 for a free evaluation of your case.

Donna Hines was with Cetera Advisors from October 2013 to May 2021. She has worked at branch offices in Clarksburg, West Virginia. Hines was also the subject of four other customer complaints.

Brokerage firms like Cetera Advisors 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 West Virginia. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Cetera Advisors.

View D. Hines BrokerCheck Report

If you lost money with Donna Jean Hines or Cetera Advisors, 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 Abdul Rahmani? We are investigation allegations made about Abdul M. Rahmani from Melville, New York. FINRA (the Financial Industry Regulatory Authority) barred Rahmani from the securities industry after he failed to fully cooperate with an investigation. FINRA alleges that Rahmani engaged in an outside business activity without disclosing such to his former brokerage firm, Joseph Stone Capital. Rahmani was alleged to have solicited investors to invest in pre-IPO stocks through a company called Axe Marketing Group.

Abdul Rahmani was a financial advisor and registered representative of Joseph Stone Capital from June 2018 to August 2020. He worked in offices in Melville and Mineola, New York. Rahmani was also terminated by three prior firms.

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

View A. Rahmani BrokerCheck Report

If you lost money with Abdul Rahmani or Joseph Stone Capital, please Contact Us at 720-599-3505 for a free evaluation of your case.

Courtney Kaplan was with LPL Financial from March 2019 to July 2021. She was also with Wells Fargo from June 2017 to March 2019. She has worked at branch offices in Palm Harbor, Florida. Kaplan was also allowed to resign by LPL Financial, and he’s been the subject of seven customer complaints.

Brokerage firms like LPL 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 Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

View C Kaplan BrokerCheck Report

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

Robert Wolfe was with Cetera Advisor Networks from November 2017 to June 2020. He was also with Girard Securities from 2009 to November 2017 and with Goldman Sachs from July 2020 to the present. He has worked at branch offices in Fort Lauderdale, Florida.

Brokerage firms like Cetera Advisor Networks 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. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

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If you lost money with Robert Wolfe, Cetera Advisor Networks, or Girard Securities, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

Jeffrey Dampf was with PFS Investments (Primerica) from 2009 to September 2021. He has worked at branch offices in Totowa, New Jersey.

Brokerage firms like PFS Investments 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 New Jersey. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against PFS Investments (Primerica).

View J. Dampf BrokerCheck Report

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

Joshua Helmle was with Integrity Brokerage Services from 2002 to December 2020. He has worked at branch offices in Monterey Park, California. Helmle was also terminated by Integrity Brokerage Services and he was also barred by FINRA in 2020.

Brokerage firms like Integrity Brokerage Services 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.

Click to view Helmle BrokerCheck Report

If you lost money with Joshua Helmle or Integrity Brokerage Services, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

Alberto Valdes was with Raymond James Financial from July 2016 to January 2018. He has been with Citigroup from January 2018 to the present. He has worked at branch offices in Miami, Florida.

Brokerage firms like Raymond James 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 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 Raymond James Financial.

View A. Valdes BrokerCheck Report

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

Deborah Herrmann (formerly Deborah Gniech) was with Transamerica Financial Advisors from February 2018 to April 2021. Herrmann was also previously with Farmers Financial Solutions. She has worked at branch offices in Wheaton, Illinois.

Brokerage firms like Transamerica Financial Advisors 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 Illinois. Attorney David Neuman grew up in DuPage County and is licensed to practice law in Illinois. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Transamerica Financial Advisors.

Click here to view D. Herrmann BrokerCheck Report

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

Lanny Howarter has been with Crown Capital Securities from March 2009 to the present. He has worked at branch offices in San Diego, California.

Brokerage firms like Crown 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; 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 Crown Capital Securities.

Click here to view Howarter BrokerCheck Report

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

Cynthia Giovacchino has been with LPL Financial from October 2011 to the present. She has worked at branch offices in Shelton, Connecticut.

Brokerage firms like LPL 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 Connecticut. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against LPL Financial.

Click here to view C. Giovacchino BrokerCheck Report

If you lost money with Cynthia Giovacchino or LPL 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 Chad M. Mackland of Council Bluffs, Iowa? We are continuing to look into allegations made against Mackland. The SEC recently barred Mackland from the securities industry in any capacity. Mackland was charged with multiple felonies related to insurance sales practices.

In March 2021, FINRA, the Financial Industry Regulatory Authority barred Mackland from the securities brokerage industry. Mackland was charged with fraud in Pottawattamie County, Iowa for theft.

Chad Mackland was a financial advisor and registered representative of Northwestern Mutual from 2005 to August 2016. He was also with MML Investors Services from March 2017 to September 2018 and with Lion Street Financial from December 2018 to February 2020. He worked at branch offices in Council Bluffs, Iowa and Omaha, Nebraska. Mackland was also discharged by MassMutual and allowed to resign by Northwestern Mutual.

Brokerage firms like Northwestern Mutual, MML Investors Services, and Lion Street 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 throughout Iowa and Nebraska. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against MML Investors Services.

Click here to view C. Mackland BrokerCheck Report

If you lost money with Chad Mackland, Northwestern Mutual, MML Investors Services, or Lion Street Financial please Contact Us at 720-599-3505 or 206-795-5798 for a free evaluation of your case.

Christopher Kennedy was with Western International Securities from August 2017 to July 2019 and again from December 2019 to August 2021. He has worked at branch offices in Tarzana, California. Kennedy was also terminated by Western International Securities regarding options trading.

Brokerage firms like Western International 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; 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 Western International Securities.

Click here to view C. Kennedy BrokerCheck Report

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

Daniel Tuan Loy was with Voya Financial Advisors from 2007 to September 2015. He has also been with Independent Financial Group from September 2015 to the present. He has worked at branch offices in Milpitas, California. Loy also was “permitted to resign” from Voya Financial Advisors in 2015.

Brokerage firms like Voya Financial Advisors 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 Voya Financial Advisors.

Click here to view D. T. Loy BrokerCheck Report

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

Chad Schiel has been with Independent Financial Group from 2012 to the present. He has worked at branch offices in San Juan Capistrano, California.

Brokerage firms like Independent Financial Group 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 Independent Financial Group.

Click here to view Schiel BrokerCheck Report

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