Are you a former customer of financial advisor Bryce Hamilton from Carmel by the Sea, California? Our investment fraud law firm is looking into allegations made against this advisor. He was permitted by LPL Financial to resign in October 2024 regarding allegations that he failed to timely report a customer complaint regarding conduct at prior firms.

The customer complaint alleged that Mr. Hamilton recommended an unsuitable investment in a private placements during 2021. He was affiliated with a few firms during 2021, including Kingswood Capital Partners, Financial Gravity Family Office Services, and Forta Financial Group in Carmel by the Sea, California. The customer alleged $300,000 in losses from these private placements.

Our firm has represented numerous investors throughout California and have sued dozens of brokerage firms in the past. We represent clients in all 50 states.

You can find a copy of Bryce Hamilton’s BrokerCheck report here.

If you lost money with Bryce Hamilton, Kingswood Capital Partners, Financial Gravity Family Office Services, or Forta Financial Group, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

KIRKLAND, WASHINGTON Were you a client of financial advisor William Carlton from Kirkland, Washington? Our securities arbitration law firm is looking into allegations made against William Carlton also known as Bill D. Carlton. In December 2023, he was fired by Cetera Advisors. Cetera Advisors had previously acquired First Allied Securities, and Carlton had been affiliated with First Allied from 2008 to September 2022.

Cetera Advisors terminated William Carlton regarding allegations that he engaged in “inappropriate trading practices”, according to FINRA BrokerCheck. Moreover, in September 2024, he was the subject of a complaint made by the Securities and Exchange Commission (SEC). The SEC alleged that he engaged in “cherry picking”, in which he allocated profitable trades to his own account while putting losing trades in the accounts of his customer. The SEC complaint alleged that this scheme caused him to profit $5.3 million from trades while costing his clients $6.4 million in losing trades.

Bill D. Carlton had been with Cetera Advisors from September 2022 to December 2023 and with First Allied Securities from 2008 to September 2022. He worked in Kirkland and Bellevue, Washington branch offices.

Brokerage firms must have written supervisory and compliance procedures, under securities rules and regulations, to monitor their advisors’ conduct. If they fail to reasonably supervise their advisors, they may be liable for customer losses.

Attorney David Neuman is licensed to practice law in Washington and has an office in Seattle. Our firm has represented numerous investors throughout Washington and have sued dozens of brokerage firms in the past.

View BrokerCheck report here. View SEC Complaint here.

If you lost money with William Carlton or Cetera Advisors, please Contact Us at 206-795-5798 for a free evaluation of your case.

JACKSONVILLE, ILLINOIS Are you a former customer of financial advisor James Martin also known as Jamie Martin, from Jacksonville, Illinois? Our investment fraud law firm is looking into allegations made against this advisor. In July 2024, he was fired by Berthel Fisher regarding allegations that he borrowed money from clients. With limited exceptions, financial advisors generally are not allowed to borrow money from clients.

After his termination by Berthel Fisher, FINRA initiated an investigation. Mr. Martin refused to cooperate with FINRA, so he was barred from the securities brokerage industry.

James Martin or Jamie Martin, had been with Berthel Fisher from March 2003 to July 2024. He also worked at Jacksonville Savings Bank. Mr. Martin is also being sued by Bankers Healthcare Group in state court in New York.

Berthel Fisher is a FINRA member firm and must have written supervisory and compliance procedures, under securities rules and regulations. If this firm failed to reasonably supervise Martin, it may be liable for customer losses.

Our firm has represented numerous investors throughout Illinois and have dozens of brokerage firms in the past. Attorney David Neuman grew up in the Chicago area and went to the University of Illinois.

VIEW BROKERCHECK REPORT HERE.

VIEW FINRA AWC HERE.

If you lost money with James Martin or Berthel Fisher, please Contact Us at 206-795-5798 for a free evaluation of your case.

NEW YORK, NY Have you invested with financial advisor Richard Jackson from New York, New York? This advisor was suspended for one month by FINRA. FINRA began its investigation after he was terminated by Equity Services. He was alleged to have made promissory, exaggerated and unwarranted representations about investments to at least twenty customers. FINRA alleged that these representations violated FINRA Rule 2210.

Richard Joseph Jackson held his securities license with Equity Services from October 2018 to November 2022. He worked in New York, New York. He also had three tax liens dating back to 2013.

Under FINRA Rule 3111, this brokerage firm is required to have written supervisory and compliance procedures to monitor the conduct of its advisors. If the firm failed to reasonably supervise its advisor, it may be liable for customer losses.

Our firm has represented numerous investors throughout New York and have sued dozens of brokerage firms in the past.

VIEW BROKERCHECK REPORT HERE. VIEW FINRA AWC HERE.

If you lost money with Richard Jackson or Equity Services, please Contact Us at 206-795-5798 for a free evaluation of your case.

ALBANY, NEW YORK Are you a former customer of financial advisor Ross Fabregas from Albany, New York? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against this advisor. In May 2024, he was fired by his brokerage firm, LPL Financial.

LPL Financial terminated Mr. Fabregas regarding allegations that he “borrowed” $15,000 from a customer and did not pay it back. Generally, financial advisors cannot borrow money from clients, with limited exceptions. He also had three tax liens against him in late 2022 and 2023.

Ross R. Fabregas was with LPL Financial from November 2020 to May 2024. He also previously worked with Cambridge Investment Research, and worked in an Albany, New York branch office.

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

Our firm has represented numerous investors throughout New York and have sued multiple brokerage firms in the past.

VIEW BROKERCHECK REPORT HERE.

If you lost money with Ross Fabregas or LPL Financial, please Contact Us at 206-795-5798 for a free evaluation of your case.

GRAND RAPIDS, MICHIGAN Have you invested with advisor Jody Vander Weide from Grand Rapids, Michigan? Mr. Vander Weide was fired by his brokerage firm, Sigma Financial, in March 2024. According to FINRA’s BrokerCheck Report (linked below), he was fired regarding allegations that he engaged in an undisclosed outside business activity as an unlicensed investment adviser representative.

Jody Vander Weide worked in a Grand Rapids, Michigan office and was licensed with Sigma Financial from 2006 to March 2024. He then started with Osaic Wealth in July 2024.

Brokers are required to disclose outside business activities pursuant to FINRA Rule 3270. Moreover, under FINRA Rule 3110, Sigma Financial is required to have written supervisory and compliance procedures. If the brokerage firm failed to reasonably supervise its Agent, it may be held liable for customer losses.

Our firm has represented numerous investors throughout Michigan and have sued dozens of brokerage firms in the past. Attorney Aaron Israels is licensed to practice law in Michigan and grew up in Holland, Michigan.

VIEW BROKERCHECK REPORT HERE.

If you lost money with Jody Vander Weide or Sigma Financial, please Contact Us at (720) 599-3505 or (206) 795-5798 for a free evaluation of your case.

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.

PEORIA, ARIZONA Did you lose money with financial advisor Scott Taubman from Peoria, Arizona? He was suspended for four months by FINRA. FINRA began its investigation after he was “permitted to resign” by his former brokerage firm, Ameriprise Financial Services. Mr. Taubman was under internal investigation by Ameriprise Financial Services, regarding allegations that he borrowed $100,000 from two customers. Financial advisors generally cannot borrow money from clients, with limited exceptions, and the advisor must get prior approval to borrow money from clients.

Scott Taubman held securities licenses with Ameriprise Financial Services from March 2017 to September 2022 and previously with Allstate Financial Services from 2008 to March 2017. He worked in Peoria, Arizona. Taubman has also been the subject of a 2022 bankruptcy and a 2023 customer complaint.

Under FINRA Rule 3240, an advisor can borrow from a customer but under certain circumstances. Likewise, under FINRA Rule 3111, brokerage firms are required to have written supervisory and compliance procedures. If brokerage firms fail to reasonably supervise its advisors, it may be liable for customer losses.

Our firm has represented numerous investors throughout Arizona and have sued dozens of brokerage firms in the past, including Ameriprise Financial Services. Attorney Aaron Israels is licensed to practice law in Arizona, and we maintain an office in Phoenix, Arizona.

View BrokerCheck report here.

View FINRA AWC here.

If you lost money with Scott Taubman or Ameriprise Financial Services, 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.

CONSHOHOCKEN, PENNSYLVANIA Are you a former customer of financial advisor Joel Freedman from West Conshohocken, Pennsylvania? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made against Joel Freedman, who was fired by his brokerage firm, Morgan Stanley in March 2024.

The firm fired the advisor after it was alleged that he engaged in discretionary trading in a customer account without written authorization to do so. Freedman also failed to timely notify Morgan Stanley of this complaint. The customer eventually settled the case for $1.3 million.

Joel Freedman had been with Morgan Stanley from 2009 to March 2024. He worked in a West Conshohocken, Pennsylvania branch office and had been in the securities industry since 1996.

Morgan Stanley is a FINRA member firm and must have written supervisory and compliance procedures, under securities rules and regulations. If brokerage firms fail to reasonably supervise their advisors, they may be liable for customer losses.

Our firm has represented numerous investors throughout Pennsylvania and have sued dozens of brokerage firms in the past, recovering millions of dollars for our clients.

View BrokerCheck report here.

If you lost money with Joel Freedman or Morgan Stanley, please Contact Us at 206-795-5798 for a free evaluation of your case.

FARGO, NORTH DAKOTA Have you lost money with financial advisor Michael Young of Fargo, North Dakota? Our law firm is looking into claims made by a customer of Young, who provided investment advisory services through Classic Asset Management. According to the complaint, he was negligent in recommending leveraged ETFs and caused $130,000 in damages. FINRA has previously warned about the dangers of using leveraged ETFs.

Michael Young has been a financial advisor and registered representative of Classic LLC since 2012. He has also been an investment advisory representative of Classic Asset Management since 2006. He operates a Fargo, North Dakota office, and is also registered with Aurora Securities and Secure Asset Management.

Investment advisors are considered to be fiduciaries of their customers, meaning that the advisor has to put their customers’ interest before their own. Violations of industry rules can be evidence that the advisor violated his fiduciary duty to a client, which can result in financial liability.

Our main offices are located in Colorado, Arizona, Washington and Michigan, and we represent clients in all 50 states including North Dakota.

View BrokerCheck report here.

If you lost money with Michael Young, Classic Asset Management, or Classic LLC, please Contact Us at 206-795-5798 for a free evaluation of your case.

LANCASTER, PENNSYLVANIA Have you invested with financial advisor Cynthia Beyerlein from Lancaster, Pennsylvania? She was suspended for eight months by FINRA. FINRA began its investigation of Beyerlein after she was fired by her brokerage firm, Ameriprise Financial Services. She was under internal investigation by Ameriprise Financial Services, regarding allegations that she borrowed $190,000 from a customer. Financial advisors generally cannot borrow money from clients, with limited exceptions, and the advisor must get prior approval to borrow money from clients.

Cynthia Beyerlein held her securities license with Ameriprise Financial Services from April 2014 to March 2023, and later went to Kingswood Capital Partners. She worked in Lancaster, Pennsylvania.

Under FINRA Rule 3240, an advisor can borrow from a customer but only under certain circumstances. Likewise, under FINRA Rule 3111, Brokerage firms are required to have written supervisory and compliance procedures. If Ameriprise failed to reasonably supervise its advisors, it may be liable for customer losses.

Our firm has represented numerous investors throughout Pennsylvania and have sued dozens of brokerage firms in the past, including Ameriprise Financial Services.

View BrokerCheck Report here. View BrokerCheck Report here.

If you lost money with Cynthia Beyerlein or Ameriprise Financial Services, please Contact Us at 206-795-5798 for a free evaluation of your case.

CONCORD, CALIFORNIA Have you invested with financial advisor Sean Fields from Concord, California? In January 2024, he was fired by his brokerage firm, PFS Investments. Fields was under internal investigation by his brokerage firm, whereby he allegedly admitted that he borrowed from two customers. Generally, financial advisors cannot borrow money from clients, with limited exceptions, and the advisor must get prior approval to borrow money from clients.

Sean Fields held his securities license with PFS Investments from 2015 to January 2024. He also held his insurance licenses with Primerica Financial Services.

FINRA Rule 3240 provides for circumstances in which an advisor can borrow from a customer. Moreover, under FINRA Rule 3111, Brokerage firms are required to have written supervisory and compliance procedures. If the firm failed to reasonably supervise its representatives, it may be liable for customer losses.

Our firm has represented numerous investors throughout California and have sued dozens of brokerage firms in the past, including PFS Investments.

View BrokerCheck report here.

If you lost money with Sean Fields or PFS Investments, please Contact Us at 206-795-5798 for a free evaluation of your case.

BOCA RATON, FLORIDA

Did you invest with financial advisor James Williams from Boca Raton, Florida? Our investment fraud law firm is reviewing allegations made by his clients. He has been licensed with Newbridge Securities since 2010.

James Earl Williams is the subject of 6 customer complaints, two of which were made since 2022. In 2022, Newbridge Securities paid $140,000 to settle a complaint where a customer alleged a breach of fiduciary duty related to an “alternative” investment sold by Williams. A complaint was also filed in August 2023, in which the firm denies any wrongdoing. Williams was also suspended by the Florida Office of Financial Regulation for a year in 2012, in which Florida alleged that he made a material misrepresentation on his license application.

Stockbrokers are required to abide by FINRA (the Financial Industry Regulatory Authority) rules. FINRA Rule 2111 states that advisors make suitable investment recommendations to customers. The brokerage firm and/or advisor can be liable if Rule 2111 is violated.

Our law firm represents investors throughout the country, including investors in Florida. Attorney David Neuman is licensed to practice law in Florida.

SEE JAMES WILLIAMS BROKERCHECK REPORT HERE

If you lost money with James Earl Williams or Newbridge Securities, please Contact Us at (206) 795-5798 for a free evaluation of your case.