Articles Posted in Fraud

Jae Kim Formerly with E1 Asset Management Barred CORTLANDT MANOR, NEW YORK Have you lost money investing with financial advisor Jae Kim in Cortlandt Manor, New York? After Jae Kim failed to respond to FINRA’s inquiry, he was barred from the securities industry. FINRA Rule 8210 states that licensed advisors are required to respond to…

Jayson Pocius, Formerly with Wells Fargo, Barred from Securities Industry CHICAGO, ILLINOIS Are you a former client of Jayson Pocius in Chicago, Illinois? The securities and investment fraud law firm of Israels & Neuman is looking into allegations against this financial advisor, who previously worked with Wells Fargo Advisors. In March 2024, he was barred…

Douglas Nelson, Formerly with Kingswood Capital Partners, Subject of GWG Complaint PAHRUMP, NEVADA Did you invest in GWG L bonds through Douglas Nelson, formerly with Kingswood Capital Partners? The securities and investment fraud law firm of Israels & Neuman is looking into claims made against the advisor, who was licensed with Kingswood Capital Partners from…

Raul Benitez, Formelry with Suntrust, Subject of Complaint Involving GIC MIAMI, FLORIDA Are you a current or former customer of advisor Raul Benitez, who previously worked with Suntrust Investment Services in Miami, Florida? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made by former customers against Raul Jorge Benitez.…

David Taddeo with LPL Financial Securities Subject of Complaints LA MESA, CALIFORNIA Are you a client of David Taddeo at LPL Financial in La Mesa, CA? He has been with LPL Financial Securities since 2000 and is the subject of six customer complaints, four of which have been made since 2020. The most recent complaint,…

Reuben Brown Formerly with Edward Jones Barred by FINRA SOUTHLAKE, TEXAS Did you invest with advisor Reuben Brown of Edward Jones in Southlake, Texas? After he failed to respond to a FINRA inquiry, he was barred from the securities industry pursuant to FINRA Rule 8210. This rule generally provides that financial advisors must respond to…

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…

Next Financial Group Advisor Farid Farhoumand Subject of Recent Complaint FORT WAYNE, INDIANA Are you a current or former client of financial advisor Farid Farhoumand from Fort Wayne, Indiana? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made by former customers of Farid Farhoumand, who has worked with Next…

Philip Riposo Fired By United Planners Financial Services NEW BEDFORD, MASSACHUSETTS and CAVE CREEK, ARIZONA Have you lost money with Philip Riposo, a financial advisor formerly with United Planners Financial Services in New Bedford, Massachusetts? Riposo was recently discharged by United Planners Financial Services, regarding allegations that he created fake statements from Zurich Kemper Investments…

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…