BETHESDA, MARYLAND Are you a former customer of financial advisor Courtney Smith from Bethesda, Maryland? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made against this advisor. She was fired by Spire Securities Financial Services in March 2024 after it was alleged that she transferred funds from at least one client’s account, without authorization, to one of her own accounts. Additionally, Ms. Smith is suspended by FINRA for refusing to respond to a FINRA investigation.

Courtney Smith had been with Spire Securities from March 2022 to March 2024. She also previously worked with Hightower Securities and worked in Bethesda, Maryland and McLean, Virginia.

Brokerage firms are required to have written supervisory and compliance procedures under securities rules and regulations. If the brokerage firm failed to reasonably supervise their advisor, it may be held liable for customer losses.

Our investment fraud firm has represented numerous investors throughout Maryland and have sued dozens of brokerage firms in the past.

View Brokercheck Report Here.

If you lost money with Courtney Smith or Spire Securities, please Contact Us at 206-795-5798 for a free evaluation of your case.

SAN ANTONIO, TEXAS Are you a former customer of financial advisor Eric Anthony Dupre from San Antonio, Texas? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made against this advisor. He was fired by Ameriprise Financial Services in March 2024.

Ameriprise terminated Mr. Dupre in December 2023. According to BrokerCheck, he allegedly borrowed money from clients, which is generally not allowed under FINRA Rules. Additionally, he has been the subject of a $4 million customer complaint, in which the customer alleges that Dupre recommended to the customer to make cryptocurrency investments and other unsuitable investments.

Eric Anthony Dupre had been with Ameriprise from June 2020 to December 2023. He worked in a San Antonio, Texas branch office, and was previously with Raymond James.

Ameriprise is a FINRA member firm and must have written supervisory and compliance procedures, under securities rules and regulations. If the firm failed to reasonably supervise its financial advisors, it may be liable for customer losses.

Our firm has represented numerous investors throughout Texas and have sued many brokerage firms in the past.

View BrokerCheck report here.

If you lost money with Eric Anthony Dupre or Ameriprise, please Contact Us at 206-795-5798 for a free evaluation of your case.

NORTH OAKS, MINNESOTA Have you lost money investing with Randy Birkinbine of Ausdal Financial Partners in North Oaks, Minnesota? According to Brokercheck, Ausdal Financial Partners has been named as a party in three cases filed in 2024, and Mr. Birkinbine was the subject of those complaints. It was alleged that he made unsuitable investment recommendations in GWG, as well as oil and gas investments, REITs (real estate investment trusts), and UITs (unit investment trusts).

Randy Birkinbine has been affiliated with Ausdal Financial Partners from June 2011 to the present. He worked in a North Oaks, Minnesota office. In addition to the three customer complaints mentioned above, he has been the subject of five other customer complaints since 2013, and has also had five tax liens since 2009.

FINRA Rule 2111 discusses suitability: advisors must make suitable investment recommendations to customers in accordance with the investors’ risk tolerance, investment objectives, net worth, age, and other factors. If the advisor violates Rule 2111, the advisor and/or the brokerage firm can be liable for investor losses.

Israels & Neuman PLC handles a number of cases in FINRA arbitration. We have previously represented numerous investors in Minnesota and the Twin City area.

View BrokerCheck report HERE.

If you lost money with Randy Birkinbine or Ausdal Financial Partners, please Contact Us at 720-599-3505 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.

Mike Savarese aka Michele Savarese was a registered representative of Presidential Brokerage from 1996 to November 2016. Savarese was also with Kestra Investment Services from October 2016 to August 2018. He has worked at branch offices in San Diego, California.

Brokerage firms like Presidential Brokerage and Kestra Investment 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, including against Presidential Brokerage and Kestra Investment Services.

Click to view BrokerCheck: Savarese, M. BrokerCheck 5.14.21

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