MONETA, VIRGINIA

Are you a former client of stockbroker Shane Wilhelm, formerly with Suntrust Investment Services and Fortune Financial Services in Moneta, Virginia? The investment fraud and securities arbitration law firm of Israels & Neuman is reviewing allegations regarding Shane Wilhelm after FINRA (the Financial Industry Regulatory Authority) indefinitely suspended him when he did not cooperate with a FINRA investigation.

In September 2022, Shane Wilhelm was fired by MGO One Seven, doing business as North Mountain Wealth Management. He was also terminated by Fortune Financial Services in October 2022, which led to the investigation by FINRA. Generally, licensed brokers have to respond to investigations by FINRA or face suspension or expulsion from the industry.

Suntrust Investment Services (now called Truist Investment Services), Wilhelm’s former brokerage firm from August 2015 to February 2021, faced three customers complaints because of his conduct. Suntrust paid $400,000 to settle one of the claims, denied a second complaint, and the third complaint is still pending.

Israels & Neuman is an investment fraud law firm that represents clients throughout the U.S., including investors in Virginia.

View Wilhelm, S. BrokerCheck 7.24.23

If you lost money with Shane Wilhelm, Suntrust, or Fortune Financial Services, please Contact Us at 206-795-5798 for a free evaluation of your case.

ALEXANDRIA, VIRGINIA

Are you a current or former client of financial advisor Simon Joseph from Alexandria, Virginia? Israels & Neuman is reviewing claims made against by former customers of Simon Joseph, who worked with Truist Investment Services from February 2021 to March 2022 and with BB&T Securities from 2016 to February 2021.

According to his BrokerCheck report, a customer complaint was filed in FINRA arbitration in April 2023. The complaint alleges that he engaged in unsuitable investment recommendations and misrepresentations in a managed account. The customer alleged losses over $250,000.

Simon Michel Joseph worked in an Alexandria, Virginia office. He is now affiliated with Momentum Independent Network. He was fired by Morgan Stanley in August 2016 regarding allegations of exercising discretion in customer accounts without written authorization to do so. He was also allowed to voluntarily resign by Truist Investment Services.

Securities broker-dealers must reasonably supervise their advisors. If the firms fail to do so, they could be liable for investment losses.

Our law firm has recovered millions of dollars for investors in FINRA arbitrations. We represent investors throughout the country, including investors in Virginia.

View Joseph, s BrokerCheck 6.27.23

If you lost money with Simon Joseph or Truist Investment Services, please Contact Us at 206-795-5798 for a free evaluation of your case.

LYNCHBURG, VIRGINIA

Did you invest with stockbroker Kenan Bell in Lynchburg, Virginia? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Kenan Bell. FINRA’s BrokerCheck discloses that he was discharged by MML Investors Services in June 2022.

BrokerCheck discloses that MML Investors Services discharged Bell regarding allegations that he did not follow company policy with respect to customer signatures on an account document. It is also revealed that Bell has been the subject of a customer complaint, where the customer alleges that Bell caused her to lose money in stocks.

Kenan Bell had been licensed with MML Investors Services from May 2019 to June 2022. Bell was also previously with Foreside Fund Services. Bell worked in Lynchburg, Virginia.

Financial advisors have obligations to follow FINRA Rules, including FINRA Rule 2111 which requires suitable investment recommendations. Brokerage firms must sufficiently supervise their financial advisors.

Israels & Neuman is an investment fraud and securities arbitration law firm that has represented thousands of investors in the past, including in cases against MML Investors Services. We represent investors throughout the country, including in Virginia.

View Bell, K BrokerCheck 6.12.23

If you lost money with Kenan Bell or MML Investors Services, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

Have you invested with financial advisor Warren Rowe of Richmond, Virginia? Israels & Neuman is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Warren E. Rowe, Jr. FINRA barred Rowe from the securities industry after he failed to respond to an investigation. Rowe was alleged to have borrowed money from customers, which is generally now allowed in the securities industry.

Warren Rowe was a financial advisor and registered representative of Oppenheimer & Co. from 2011 to May 2020. He worked at a branch office in Richmond, Virginia. Rowe has been the subject of eight customer complaints, and he was also fired by Oppenheimer & Co.

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

Click to view: Rowe, Warren BrokerCheck 1.5.22

Click to view: Rowe, Warren FINRA AWC

If you lost money with Warren Rowe or Oppenheimer & Co., please CONTACT US at 206-795-5798 for a free evaluation of your case.