James Dunn, Formerly with Ameriprise Financial Services, Fired For Unauthorized Trades VIENNA & ARLINGTON, VIRGINIA Are you a former customer of James Dunn in Vienna, Virginia? The investment fraud and securities arbitration law firm of Israels & Neuman is reviewing allegations made against James Dunn, who was a financial advisor with Ameriprise Financial Services from…
Continue reading ›James Parrelly, Formerly with Investment Planners, Subject of Customer Complaints DEARBORN, MICHIGAN Are you a former customer of James Parrelly also known as Jim Parrelly from Dearborn, Michigan? The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations made by former customers of James Parrelly and his former brokerage…
Continue reading ›Financial Advisor Mark Rothstein, with Independent Financial Group, Subject of REIT Complaint EL SEGUNDO, CALIFORNIA Did you invest in REITs (real estate investment trusts) with Mark Rothstein, with Independent Financial Group, in El Segundo, California? According to FINRA’s BrokerCheck, a former customer of Mark Rothstein filed an arbitration claim against Independent Financial Group. The customer…
Continue reading ›Charles Rosenberg, Formerly with Stifel Nicolaus & Company, Subject of Customer Complaints SANTA BARBARA, CALIFORNIA Our investment fraud law firm is looking into allegations made against Charles Rosenberg, who previously worked with Stifel Nicolaus. In 2019, a customer brought a complaint against Stifel Nicolaus & Company, alleging that Charles Rosenberg made unsuitable investment recommendations and…
Continue reading ›Advisor Armando Roman, Formerly with Independent Financial Group, and Now with Axiom, Subject of $3.5 Million Customer Complaint SCOTTSDALE, ARIZONA Are you a former client of advisor Armando Roman, formerly with Independent Financial Group and now with Axiom Financial in Scottsdale, Arizona? The investment fraud and securities arbitration law firm of Israels & Neuman is…
Continue reading ›Francis Velten, a/k/a Frank Velten, Formerly with Summit Brokerage Services, Subject of FINRA Investigation NEW PORT RICHEY, FLORIDA Are you a former customer of Francis Velten also known as Frank Velten from New Port Richey, Florida? Israels & Neuman is reviewing allegations made about Francis Velten. FINRA (the Financial Industry Regulatory Authority) has brought an…
Continue reading ›Richard Duncan from Springfield, Massachusetts, Ordered to Pay Over $500,000 Regarding Turkish Scam LONGMEADOW, MASSACHUSETTS The securities and investment fraud law firm of Israels & Neuman is continuing to look into allegations made against Richard Duncan from Springfield, Massachusetts. In 2019, the Securities and Exchange Commission (SEC) brought a civil action against Richard or “Rick”…
Continue reading ›William Campbell, with David Lerner Associates, Subject of Several Customer Complaints WHITE PLAINS, NY The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations made by customers of financial advisor William Campbell, with David Lerner Associates. William Campbell, who worked in an office in White Plains, New York, has…
Continue reading ›Matthew Howard Smith, Formerly with Securities America, Subject of FINRA Investigation CLIFTON PARK, NY The investment fraud and securities arbitration law firm of Israels & Neuman is reviewing allegations made about Matthew Howard Smith. FINRA (the Financial Industry Regulatory Authority) has brought an investigation into Matthew Smith. According to FINRA’s BrokerCheck, he has failed to…
Continue reading ›Another Former Aegis Capital Corp. Advisor, Scott Hananel, Handed Lengthy Suspension by FINRA MELVILLE, NY Have you lost money investing with financial advisors at Aegis Capital Corp.? The investment fraud and securities arbitration law firm of Israels & Neuman is continuing to look into allegations made by FINRA (the Financial Industry Regulatory Authority) against financial…
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