Practice Areas

Aaron Israels and Dave Neuman are Securities Arbitration and Investment Fraud Attorneys with Offices in Colorado, Michigan, Illinois, Arizona and Washington. Our attorneys handle securities fraud cases in all 50 states. We represent investors and help them recover investments losses from financial advisors, brokers, brokerage firms and advisory firms. The securities fraud lawyers at Israels & Neuman, PLC have handled hundreds of investment related cases and have extensive experience in all types of securities claims and actions, including:

1. FINRA Arbitration. FINRA Arbitration is an arbitration forum where many investment related disputes are resolved. When you open an account at a FINRA member firm, you sign paperwork which requires the parties to resolve any disputes in FINRA Arbitration, rather than court. Aaron Israels and Dave Neuman have represented thousands of investors in FINRA arbitration and can explain the entire process to you during your initial consultation.
2. Funds Stolen by Financial Advisors, Ponzi schemes, and Selling Away. Unfortunately, financial advisor and broker theft is far more common that most people realize. Many smaller cases of theft and fraud are not reported in the news, but that does not mean that the results are not devastating to victims. The law firm of Israels & Neuman has represented numerous theft victims. Most of the case we have handled have involved some sort of Ponzi scheme or from “selling away”, which happens when a broker or advisor sells fraudulent products that were not approved by his or her firm.
3. Unsuitable Investment Recommendations and Violations of Reg BI. Unsuitable investments are investments that are not appropriate for an investor. Factors considered are age, investment knowledge, risk tolerance and need for liquidity. When investments do not match the investment objectives of the investor, the investments are not suitable. The newly enacted Reg BI (also known as Regulation Best Interest) goes even further and requires that all investments are not only suitable but are also in the investor’s best interest as well.
4. Failure to Supervise Financial Advisors and Brokers. By law, brokers and investment advisors are required to supervise their employees and the investment transactions that occur through their employees and their firms. They are also required to implement a supervisory system that is designed to prevent violations of laws, rules and bad conduct. Most cases involving investments and securities involve supervisory failures. As such, it is important to hire a law firm such as Israels & Neuman, PLC, that is highly experienced with supervisory claims to assist you with recovering your damages.
5. Securities Fraud and Financial Advisor Negligence. Generally, securities fraud cases involve violations of federal or state securities laws and are related to an advisor knowingly making false statements in the purchase or sale of securities or omitting material information from an investor. Negligence generally involves a legal duty to act as a reasonable person would under the same circumstances. Malpractice is another way of referencing negligence of a professional. Israels & Neuman, PLC, can quickly assess your negligence or fraud claim and can help you determine what the best course of action is.
6. Breach of Fiduciary Duty Claims Against Financial Advisors. All registered investment advisors and some brokers are required to act as fiduciaries. Fiduciaries owe their clients the highest degree of care and must, at all times, put their clients’ interests above their own. When a broker or advisor is acting as a fiduciary, they are required to do more than just make suitable investments; they are required to act in your best interest. Aaron Israels and Dave Neuman have handled numerous breach of fiduciary duty cases and are very knowledgeable with respect to the laws surrounding financial advisors and fiduciary duties.
7. Improper Use of Margin, Excessive Margin Trading, and Securities Backed Lending. Margin and securities backed loans can be helpful and profitable, however, both can also create additional risk and amplify losses if not used properly. Our attorneys have handled cases arising from margin and securities backed loans and understand what each product can do to a portfolio, especially when used improperly.
8. Investment Losses for Non-Traded REITS and Oil and Gas Investments. Both non-traded REITS and oil and gas investments are private investments, and both are very difficult to get out of. Often times, these investments lose investment principal over time and also, reduce or cease dividends. Further, we often see these investments sold in high concentrations. Private, illiquid investments are not appropriate for most investors. If you have experienced problems associated with a private investment, call us today to discuss your legal rights.

Israels & Neuman, PLC is a full service investment fraud and securities arbitration law firm with experienced lawyers who can quickly evaluate the strengths and weaknesses of your claims. Please call our office today at (720) 599-3505 for a free and confidential consultation. We have offices in Denver, Phoenix, Grand Rapids, Ann Arbor, Chicago and Seattle, but we represent investors nationwide.

• Breach of Fiduciary Duty
• FINRA Arbitration
• Failure to Supervise Financial Advisors
• Securities and Investment Fraud
• Excessive Margin Trading
• Non-Traded REITs
• Unsuitable Investments and Violations
• PONZI Schemes and Selling Away