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ROYAL GREGORY FISHER of SagePoint Financial is SUSPENDED

Israels & Neuman, PLC — Wed, 15 Nov 2023 19:54:42 GMT

Former SagePoint Financial Advisor Royal Gregory Fisher Suspended by FINRA

TRAVERSE CITY, MICHIGAN As of November 2023, Royal Gregory Fisher has been suspended by FINRA. He previously worked with SagePoint Financial and now works with McNally Financial Services. He was suspended for two months and fined $5,000.

FINRA alleged that Fisher circumvented compliance procedures with SagePoint Financial and acted as a Power of Attorney for a customer who was not a relative, acted as a Trustee of the customer’s account, and was named a Beneficiary of the customer’s trust. In particular, Mr. Fisher stood to inherit $100,000 from the customer’s Trust, and is also the executor of the customer’s estate.

Royal Gregory Fisher worked in Traverse City, Michigan. He was licensed with SagePoint Financial from 2008 to April 2021, and with McNally Financial Services from April 2021 to the present. He was also fired by SagePoint Financial regarding these allegations, and was also the subject of a 2023 customer complaint.

Stockbrokers like Royal Gregory Fisher must respond to comply with internal procedures of their brokerage firms. A failure to do so could result in liability to affected customers.

Our securities arbitration law firm represents investors throughout Michigan. We have an office in Ann Arbor, and attorney Aaron Israels maintains his law license in Michigan.

Fisher’s BrokerCheck report can be found HERE. Fisher’s FINRA AWC can be found HERE.

If you lost money with Royal Fisher or SagePoint Financial, please Contact Us at (206) 795-5798 for a free evaluation of your case.

SCOTT ROSLONOWSKI of Ameriprise Subject of COMPLAINTS

Israels & Neuman, PLC — Tue, 31 Oct 2023 20:58:31 GMT

Scott Roslonowski with Ameriprise Financial Services Subject of Complaints

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.

ROBERT DECHICK of DH Hill Securities Subject of COMPLAINTS

Israels & Neuman, PLC — Wed, 11 Oct 2023 16:15:28 GMT

Robert Dechick with DH Hill Securities Subject of Complaints

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.

JASON COOK of Berthel Fisher Subject of COMPLAINTS

Israels & Neuman, PLC — Thu, 06 Jul 2023 21:05:15 GMT

Jason Cook, with Berthel Fisher & Company, Subject of Three Complaints

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.

ROBERT WOLFE of Cetera Accused of Unsuitable REIT Investments

Israels & Neuman, PLC — Mon, 11 Oct 2021 17:45:00 GMT

FORT LAUDERLDALE, FLORIDA Have you lost money with financial advisor Robert Wolfe, formerly with Cetera Advisor Networks and Girard Securities in Fort Lauderdale, Florida? We are looking into allegations made against Robert B. Wolfe. Wolfe has been the subject of five customer complaints, all of which were made within the last year-and-a-half. The complaint alleges losses in real estate investments like REITs (real estate investment trusts) and private placements.

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.

Click to view Wolfe BrokerCheck Report

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.

Joseph Faherty Complaints of Unsuitable BDCs and REITs

Israels & Neuman, PLC — Tue, 15 Jun 2021 20:06:03 GMT

Israels & Neuman, PLC Investigates Joseph Faherty, of Royal Alliance Associates OLD TAPPAN, NEW JERSEY – Have you lost money with financial advisor Joseph Faherty, of Royal Alliance Associates in Old Tappan, New Jersey? We are looking into allegations made against Joseph Faherty, who has been the subject of two customer complaints, one which was filed in 2021. The customers alleged that Faherty sold them unsuitable BDCs (business development companies) and REITs (real estate investment trusts). The customers allege a combined $900,000 in damages from the BDCs and REITs.

Joseph E. Faherty has been a registered representative of Royal Alliance Associates from 2005 to the present. He has worked at branch offices in Old Tappan, New Jersey.

Brokerage firms like Royal Alliance Associates 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 Royal Alliance Associates.

Click to view BrokerCheck: Faherty, j BrokerCheck 6.11.21

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

SCOTT JASON LEE Subject of Complaints

Israels & Neuman, PLC — Tue, 15 Jun 2021 19:52:57 GMT

Israels & Neuman, PLC Investigates Scott Jason Lee, Formerly of Moloney Securities COLD SPRING, MINNESOTA – Have you lost money with financial advisor Scott Jason Lee, formerly of Moloney Securities in Cold Spring, Minnesota? We are looking into allegations made against Scott Lee, who has been the subject of a customer complaint, which was made in 2021. The customer alleged that Lee sold them an unsuitable private placement, causing damages of $82,000.

Scott Jason Lee was a registered representative of Moloney Securities from April 2016 to April 2019. He has been with Ausdal Financial Partners from April 2019 to the present. He has worked at branch offices in Cold Spring, Minnesota.

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

Click to view BrokerCheck: Lee, s BrokerCheck 6.11.21

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

PHILLIP ANDERSON Customer Complaints

Israels & Neuman, PLC — Tue, 15 Jun 2021 19:23:27 GMT

Israels & Neuman, PLC Investigates Phillip Anderson, of Kingswood Capital Partners ROSEVILLE, CALIFORNIA – Have you lost money with financial advisor Phillip Curtis Anderson, of Kingswood Capital Partners in Roseville, California? We are looking into allegations made against Phillip Anderson, who has been the subject of two customer complaints, one which was filed in 2021. The 2021 customer complaint alleged that Anderson sold them unsuitable “alternative” illiquid investments. The customer alleged losses of $30,000 in these alternative investments.

Phillip Anderson has been a registered representative of Kingswood Capital Partners from June 2018 to the present. He was also with Wells Fargo from 2010 to March 2017. He has worked at branch offices in Roseville, California.

Brokerage firms like Kingswood Capital Partners 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 BrokerCheck: Anderson, Phillip BrokerCheck 6.11.21 (1)

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