Ronald Berg, Formerly with Innovation Partners, Barred from Securities Industry


June 17, 2024

Type of alert:

Are you a former client of financial advisor Ronald Berg? The securities and investment fraud law firm of Israels & Neuman is investigating allegations against Mr. Berg, who previously worked with the brokerage firm Innovation Partners. Mr. Berg was barred by FINRA in May 2024 after he refused to respond fully to an investigation. FINRA disclosed on BrokerCheck that he made multiple investment recommendations to seniors to invest in private placements and allegedly had involvement in a customer trust. Although Berg initially provided a partial response, the information and documents he withheld were deemed material to the investigation. Ronald Berg was registered with Innovation Partners from August 2016 to May 2024, operating out of Seven Oaks, California, while Innovation Partners is based in Charlotte, North Carolina.

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