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5
Apr

REIT Complaints Against MARK ROTHSTEIN of Independent Financial

Losses with Mark Rothstein of Independent Financial in El Segundo, CA
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 …
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4
Apr

Advisor CHARLES ROSENBERG Accused of Unsuitable Investments

Losses with Alan Appelbaum, Paul Gallivan, Aegis Capital and VRSP investments in Boca Raton, FL
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 …
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4
Apr

ARMANDO ROMAN Involved in $3.5 Million in Customer Losses

Losses with Louis Peter Goff of Wells Fargo in Salt Lake City, UT
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 …
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4
Apr

Investigation of FRANCIS VELTEN of Summit Brokerage Services

Losses with Brian Scott Graham of Cetera Advisor Networks in Plainfield, IL
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 …
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2
Apr

FRAUD ALERT: Richard Duncan of Ausdal and Bradway Financial

Losses with Courtney Smith of Spire Securities in Bethesda, MD
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” …
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30
Mar

COMPLAINTS Against William Campbell of David Lerner Associates

Losses with Michael Grande of Newbridge Securities in Fort Lauderdale, FL
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 …
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30
Mar

Investigation of Advisor MATTHEW HOWARD SMITH- Clifton Park, NY

Losses with Matthew Howard Smith of Securities America in Clifton Park, NY
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 …
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30
Mar

Warning! SCOTT HANANEL of Aegis Capital is SUSPENDED

Losses with Michael Young of Classic Asset Management in Fargo, ND
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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29
Mar

UPDATE! JOHN ORLANDO of Westpark Capital Now Under Investigation

Losses with James Parrelly of Investment Planners in Dearborn, MI
 John Orlando, Formerly with Westpark Capital and now with SW Financial, Under Investigation by FINRA FORT LAUDERDALE, FL The investment fraud and securities arbitration law firm of Israels & Neuman is continuing to look into allegations made against financial advisor John Orlando, formerly with Westpark Capital and now with SW Financial in Fort Lauderdale, Florida.  …
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