If you lost money in Serene Lake Capital with advisor Li Li in Issaquah, Washington, contact Israels & Neuman at 720-599-3505. You may have legal options to recover your losses. What Did Washington Allege? The Washington Division of Securities alleged that Klahanie Investment and Li managed a private fund called Serene Lake Capital. Washington further…
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If you lost money with James Holmes of Wells Fargo in North Carolina, contact Israels & Neuman at 720-599-3505. Allegations Regarding James Eugene Holmes III FINRA brought an investigation into James Holmes of Wells Fargo in Winston-Salem, North Carolina regarding allegations that he engaged in an unsuitable options trading strategy with a client. FINRA further…
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If you lost money with Gustave Schmidt of Investment Network in Smithtown, New York, contact Israels & Neuman at 720-599-3505. FINRA’s Allegations Regarding Schmidt FINRA initiated its investigation into Gustave Schmidt regarding his involvement with StraightPath Venture Partners, LLC. He allegedly recommended that his customer invest in StraightPath Venture Partners for the purpose of investing…
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Call Israels & Neuman at 720-599-3505 if you feel you lost money with Mark Allen Carter of Pruco Securities. Allegations Regarding Mark Carter’s Suspension FINRA has bought a regulatory action against Mark Carter, formerly with Pruco Securities in Charlotte, North Carolina. FINRA alleged that he recommended that a couple engage in options trading that was…
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The investment fraud law firm is looking into allegations involving Stephen M. Franko. Contact us at 720-599-3505 if you feel you suffered losses. Allegations Regarding the Suspension FINRA bought an administrative complaint against Stephen M. Franko and Thomas Scheiman (both of whom worked at Independence Capital Co. in Mount Vernon, Ohio) regarding their sales…
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Israels & Neuman is looking into claims against Todd Juenger, who worked with LPL Financial in Vancouver, Washington. LPL Financial terminated him in October 2025. Allegations Regarding the Termination Juenger was fired by LPL Financial regarding allegations that he borrowed money from a client. Generally, financial advisors are not allowed to borrow money from clients,…
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Did you invest in precious metals with Kelli Gabriel, formerly at Madison Avenue Securities? Israels & Neuman law firm is looking into allegations involving Kelli Lyn Gabriel, who formerly was a representative with Madison Avenue Securities and worked in a Brentwood, Tennessee office. Her registration was terminated by Madison Avenue Securities in October 2025. Allegations…
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The investment fraud firm of Israels & Neuman is looking into an administrative complaint made by FINRA against Ronald G. Smith, who previously worked for Spartan Capital Securities. FINRA’s Allegations FINRA alleged that it initiated an investigation into Ronald G. Smith regarding allegations that he engaged in excessive trading or churning in a customer account. …
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Did you loan money to, or invest with Jacob Harper of D.A. Davidson? Israels & Neuman is looking into allegations involving Jacob Lee Harper, who was a representative with D.A. Davidson and worked in a Newport Beach, California office. Allegations Against Jacob Harper According to a FINRA regulatory action, Jacob Harper borrowed $50,000 from two…
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Allegations Against George N. Jing FINRA opened an investigation into George N. Jing after he was terminated by his former brokerage firm, TransAmerica Financial Advisors. According to a regulatory document called a Form U-5, TransAmerica disclosed that Jing was discharged for his alleged participation “in an undisclosed outside business activity and/or an undisclosed private securities…
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