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Derek Johnson of Morgan Stanley Subject of Complaint Involving Losses in Bed Bath and Beyond and Energy Stocks
Israels & Neuman, PLC

You may be able to file a claim if you lost money in Bed Bath and Beyond investments with Morgan Stanley financial advisor, Derek Michael Johnson in Brea, California. The securities fraud law firm of Israels & Neuman is reviewing allegations made against Johnson, who has been a representative with Morgan Stanley since June 2020. …

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Robert Alegria of Morgan Stanley: Complaint Involving Corporate Bonds
Israels & Neuman, PLC

BrokerCheck, a website maintained by FINRA, has disclosed that financial advisor Robert Alegria and Morgan Stanley are the subject of a customer complaint that was filed in June 2025.  The customer alleged that Alegria made unsuitable investment recommendations and violated Regulation Best Interest (Reg BI) with respect to a securities-backed line of credit.  The alleged…

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Michael Graham Fired by LPL Financial in El Paso, Texas
Israels & Neuman, PLC

Why Did LPL Financial Fire Michael Graham? Michael Graham, who was a former representative with LPL Financial and worked in an El Paso, Texas office, was fired by LPL Financial in June of 2025. According to FINRA, Michael Graham was terminated by LPL Financial, which alleged that he “Failed to disclose and receive prior approval…

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What Kind of Securities Lawyer Do You Need? A Guide to Finding the Right Legal Help
Israels & Neuman, PLC

Introduction: Why This Matters “Securities attorney” can mean very different things depending on the context.Investors, companies, and financial professionals all have unique needs—and not all securities lawyers handle the same kinds of cases.In this guide, we break down the main categories of securities lawyers and help you understand which type may be right for your…

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Stephen Parks Subject of Complaint Involving Alternative Investments
Israels & Neuman, PLC

According to a recent disclosure on BrokerCheck, Stephen Parks of Dallas, Texas and Skystone Securities are the subject of a $5 million customer complaint.  The customer alleged that Parks recommended two speculative, alternative investments, and that he and Skystone failed to perform adequate due diligence on the products sold to the client.  The case was…

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Brian Marston of Woodbury Financial: Multiple Customer Complaints
Israels & Neuman, PLC

Did you lose money with financial advisor Brian Marston in Greenwood Village, Colorado? Israels & Neuman, with offices in Denver, Colorado, is reviewing allegations made against Brian R. Marston, who was affiliated with Woodbury Financial Services between May 2006 and December 2023.  FINRA maintains a website called BrokerCheck, which discloses events like customer complaints, terminations,…

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Regulation Best Interest (Reg BI): A Comprehensive Guide
Israels & Neuman, PLC

Introduction Regulation Best Interest (Reg BI) represents a significant shift in the standard of conduct owed by broker-dealers to retail customers. Adopted by the Securities and Exchange Commission (SEC) on June 5, 2019, and effective June 30, 2020, Reg BI was part of a broader rulemaking package aimed at enhancing investor protection. It establishes that…

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Complaints Against Stephen Mattocks of SagePoint Financial for REIT Sales
Israels & Neuman, PLC

FINRA has revealed that financial advisor Stephen Mattocks of SagePoint Financial in Wichita, Kansas, has been the subject of a customer complaint which was made in June 2025.  The complaint was regarding an allegedly unsuitable REIT that was recommended in 2019.  REITs are “real estate investment trusts”, which pool investor money into acquiring various real…

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Roger Bowlin of Concorde Investment Services Faces Allegations for Sales of REITs and Non-Traded Investments
Israels & Neuman, PLC

Have you lost money with financial advisor Roger Bowlin, formerly with Concorde Investment Services in Mercer Island, Washington?  This advisor has been alleged to have sold alternative investments to his clients, which often are investment products that are not traded on a public exchange like NYSE and NASDAQ.  In particular, he allegedly recommended that his…

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Donald Spivey of Carter Terry & Company in Camden, SC is Booted from the Securities Industry
Israels & Neuman, PLC

You may be able to recover money if you suffered losses with Carter Terry & Company financial advisor Donald Spivey in Camden, South Carolina. Israels & Neuman is reviewing allegations made against Donald Franklin Spivey, who was a representative of Carter Terry & Company from 2005 to October 2023 and had been in the securities…

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Aaron Israels was diligent, professional, knowledgeable and extremely thorough. My legal ordeal was quite cumbersome but Aaron was present, willing and ready to go the extra mile for me. I HIGHLY RECOMMEND, Israels and Neuman, PLLC for...

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I have worked with many attorneys over the course of my career in both large and small businesses. Dave and Aaron are an outstanding legal team. I used Dave and Aaron for a personal situation that called for a hands on detailed approach. I found...

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Aaron created our wills and offered solutions that made the process easy and pain free. We recently needed to amend our wills, and he made suggestions that made a better distribution that we had not thought of prior to meeting with him. He was...

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I have worked with Aaron Israels for over eight years and can confidently say that he is the most honest and hard-working attorney I know. He not only gets results, but he also genuinely cares about his clients and colleagues. If you have a...

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Mr. Aaron Israels set up our business by listening to us and creating a structure legal structure that was exactly what we wanted and needed. All of the work was set up in a binder for easy access to all information along with clear instructions...

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