Articles Posted in lost money

DANIEL JAMES O’NEILL of Aegis is SUSPENDED for Excessive Trading
Israels & Neuman, PLC

MELVILLE, NY Have you lost money with financial advisor Daniel James O’Neill of Aegis Capital in Melville, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel James O’Neill. Earlier in 2021, FINRA has named O’Neill in a regulatory complaint, alleging that O’Neill excessively traded or churned customer accounts.…

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Investigation of JASON GAROFALO and Ameriprise Financial
Israels & Neuman, PLC

LAS VEGAS, NEVADA Have you lost money with financial advisor Jason Garofalo, with Ameriprise Financial Services, in Las Vegas, Nevada? We are looking into allegations made against Jason Garofalo. Garofalo has been the subject of a recent customer complaint. Garofalo was alleged to have sold unsuitable investments in non-traded REITs (real estate investment trusts) like…

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Warning! DOUGLAS ROSENBERG of Joseph Stone is SUSPENDED
Israels & Neuman, PLC

HAUPPAUGE, NEW YORK Have you lost money with financial advisor Douglas Rosenberg, with Joseph Stone Capital in Hauppauge, New York? We are looking into allegations made against Douglas J. Rosenberg. Rosenberg was the subject of an investigation by FINRA. FINRA investigated whether Rosenberg had been excessively trading or churning customer accounts. To settle these allegations,…

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WARNING: Investigation of MARIANNE SMITH of Cetera Advisors
Israels & Neuman, PLC

AVON, CONNECTICUT Have you lost money with financial advisor Marianne Smith, formerly of Cetera Advisors in Avon, Connecticut? We are looking into allegations made against Marianne Oshee Smith. FINRA began investigating Smith regarding allegations that she converted $43,900 from a customer. The funds were alleged to have been used to purchase mutual funds for Smith’s…

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HAYK PAPOYAN of MML Investors Under FINRA Investigation
Israels & Neuman, PLC

VAN NUYS, CALIFORNIA Have you lost money with financial advisor Hayk Papoyan, formerly of MML Investors Services in Van Nuys, California? We are looking into allegations made against Hayk Papoyan. FINRA began investigating Papoyan regarding an alleged undisclosed brokerage account. Papoyan was also terminated in July 2021 by MML Investors Services regarding an undisclosed outside…

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WARNING: William LeBoeuf of Merrill Lynch and Cetera SUSPENDED
Israels & Neuman, PLC

MIAMISBURG, OHIO Have you lost money with financial advisor William LeBoeuf, formerly with Merrill Lynch, in Miamisburg, Ohio? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William LeBoeuf. FINRA suspended LeBoeuf from the securities industry for one year and fined him $12,500. FINRA was investigating LeBoeuf for allegations that he…

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UPDATE! JAMES SIMPSON of Equitable (AXA) Advisors is BARRED
Israels & Neuman, PLC

James Simpson, Formerly with Equitable (AXA) Advisors, Already Facing Federal Fraud Charges, Now Barred by FINRA TOLEDO, OHIO Have you lost money with financial advisor James Simpson, formerly with Equitable Advisors (previously AXA Advisors) in Toledo, Ohio? We are continuing to look into allegations made against James Earl Simpson. In November 2021, Simpson was barred…

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Investment Losses with JEREMIAH ROMAN of PFS Investments
Israels & Neuman, PLC

CORAL SPRINGS, FLORIDA Have you lost money with financial advisor Jeremiah Roman, formerly with PFS Investments, in Coral Springs, Florida? We are look into allegations made against Jeremiah Roman. Roman was terminated by PFS Investments in October 2021. PFS terminated Roman over allegations that he engaged in undisclosed outside business activities and/or private securities transactions.…

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RICHARD ALLEN of Woodbury Financial Accused of Unsuitable Investments
Israels & Neuman, PLC

ALPINE, UTAH Have you lost money with financial advisor Richard Allen, with Woodbury Financial in Alpine, Utah? We are looking into allegations made against Richard Ray Allen. Allen has been the subject of two customer complaints, which were made within the last year. One of the complaints alleges that Allen recommended investments in private placements…

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RODGER THOMAS of SCF Accused of Unsuitable Investments in GPB
Israels & Neuman, PLC

LIVINGSTON, NJ Have you lost money with financial advisor Rodger Thomas, formerly with SCF Securities and now with Newbridge Securities Corp. in Livingston, New Jersey? We are looking into allegations made against Rodger Erik Thomas. Thomas has been the subject of two customer complaints, one of which was filed within the last year. The recent…

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