Allegations Against Gilbert Conrad

FINRA began its investigation into Conrad after two customer complaints were filed against him (Conrad has now been the subject of seven customer complaints).  FINRA alleged that Conrad settled with two customers without notifying his former firm, Independent Financial Group.  The complaints involved real estate and other private alternative investments that Conrad had recommended.

To settle these allegations, Conrad agreed to a two-month suspension and a $5,000 fine.

Background on Gilbert Russell Conrad

Gilbert Conrad had been licensed with Independent Financial Group from October 2016 to February 2020.  He then was licensed with Arkadios Capital from February 2020 to March 2022.  He later was licensed with Coastal Equities (now known as Realta Equities) from March 2022 to March 2025.  Conrad worked in a Lewiston, New York office.

Can Coastal Equities Be Responsible for Their Advisors’ Conduct?

Under FINRA Rule 3110, broker-dealers like Coastal Equities must reasonably supervise the activity of its advisors.  The firms could be responsible for investor losses if they failed to reasonably supervise him.

Israels & Neuman Represents Clients in New York

We represent investors throughout the United States as well as New York, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.    If you were a client of Gilbert Conrad and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Conrad’s BrokerCheck Report
• View Conrad’s FINRA AWC

Contact Us for a Free and Confidential Consultation

Call us today at (720) 599-3505 or (206) 795-5798

or fill out our contact form to learn more about your rights. We have experience representing New York investors and are ready to help you recover the money you deserve.

Allegations Against Kris Barrett

BrokerCheck, which is a website maintained by FINRA, discloses that Edward Jones fired Kris Barrett regarding allegations of “Concerns the registered representative referred a customer to an unapproved outside investment opportunity involving an entity with which he appeared to be affiliated, that customer funds were transferred to that entity, and concerns regarding customer authorization.”  Financial advisors must get permission from their brokerage firm for every investment that they sell or recommend to customers.

Background on Kris J. Barrett

Kris Barrett was licensed with Edward Jones from November 2023 to August 2026 at a Portland, Oregon office. He previously worked as a mortgage loan officer.

Can Edward Jones Be Liable to Customers for Investment Losses?

FINRA Rules require securities brokerage firms like Edward Jones to adequately supervise the activity of its advisors.  Edward Jones could be responsible for investor losses if it failed to reasonably supervise advisors like Mr. Barrett. 

Israels & Neuman Represents Clients in Oregon

We represent investors throughout the United States including Oregon.  We have an office in Vancouver, Washington as well.  If you were a client of Kris Barrett and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Barrett’s BrokerCheck Report

Contact Israels & Neuman for a Free and Confidential Consultation

Call us today at (720) 599-3505 or (206) 795-5798

or fill out our contact form to learn more about your rights. We represent Oregon investors and are ready to help you recover the money you deserve.

Allegations Against Joseph Eschleman

FINRA’s BrokerCheck discloses whether customers have made complaints against a financial advisor.  Joseph Eschleman has been the subject of five customer complaints, three of which have been made since September 2025.  The three recent complaints all involve DSTs or Delaware Statutory Trusts, and two of those complaints involve investments in Versity/Crew/Inspire DSTs.  The total alleged losses from these three complaints are over $2 million.

Background on Joseph Eschleman

Joseph Eschleman had been licensed with Purshe Kaplan Sterling from August 2017 to May 2026 at a Sacramento, California office.  He now works with Towerpoint Wealth.

Can Purshe Kaplan Sterling Be Responsible for Eschleman’s Conduct?

Under FINRA Rules, broker-dealers like Purshe Kaplan Sterling must reasonably supervise the activity of its advisors.  The firms could be responsible for investor losses if they failed to reasonably supervise them.

Israels & Neuman Represents Clients in California

We represent investors throughout the United States as well as California, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.    If you were a client of Joseph Eschleman and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Eschleman’s BrokerCheck Report

Contact Israels & Neuman for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798

or fill out our contact form to learn more about your rights.

Allegations Against Jack Wolbert

In March 2026, a customer made a complaint against Wolbert, alleging that he sold them an investment in a SAFE promissory note.  The note allegedly failed to pay upon maturity, causing over $800,000 in losses.  That led to a FINRA investigation into the matter.   Wolbert was then allowed to voluntarily resign from Boustead Securities regarding his involvement in the SAFE notes.   

Background on Jack Wolbert

Jack Wolbert was licensed with Boustead Securities from June 2023 to July 2026 at an Irvine, California office.  He was also previously licensed with Revere Securities and Fnex Capital.

Can Boustead Securities Be Responsible for Customer Investment Losses?

Under FINRA Rule 3110, broker-dealers like Boustead Securities must reasonably supervise the activity of its advisors.  Boustead Securities could be responsible for investor losses if it failed to reasonably supervise its advisor.

Israels & Neuman Helps Investors Recover Investment Losses in California

We represent investors throughout the United States as well as California, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  We have represented numerous investors in California in the past.  If you were a client of Jack Wolbert and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Wolbert’s BrokerCheck Report

Contact Israels & Neuman for a Free Consultation

Call us today at (720) 599-3505 or (206) 795-5798

or fill out our contact form to learn more about your rights. We have experience representing California investors and are ready to help you recover the money you deserve.

Allegations Regarding the Suspension of Brandon Bauerle

Edward Jones terminated Bauerle in June 2025.  The firm alleged that it had “Concerns [Bauerle] did not adhere to Firm policy relating to Failure to Comply with Policies and Procedures and Complaints”.

That triggered a FINRA investigation.  In June 2026, FINRA disclosed that it was indefinitely suspending Bauerle after he failed to respond to a FINRA request for information.

Background on Brandon Michael Bauerle

Brandon Bauerle had been licensed with Edward Jones from June 2017 to June 2025 at a Mont Belvieu, Texas office.  He was also with Cetera Investment Services from December 2025 to May 2026.

Can Edward Jones Be Responsible for Customer Investment Losses?

Under FINRA Rule 3110, broker-dealers like Edward Jones and Cetera Investment Services must reasonably supervise the activity of its advisors.  The firms could be responsible for investor losses if they failed to reasonably supervise them.

Israels & Neuman Helps Victims of Investment Fraud Recover Money in Texas

We represent investors throughout the United States as well as Texas, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  If you were a client of Brandon Bauerle and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Bauerle’s BrokerCheck Report

Contact Israels & Neuman for a Free and Confidential Consultation

Call us today at (720) 599-3505 or (206) 795-5798

or fill out our contact form to learn more about your rights. We have experience representing Texas investors and are ready to help you recover the money you deserve.

Allegations Regarding Don Linzer

According to BrokerCheck, Don Linzer has been the subject of two customer complaints within the last year.  The first complaint was made in December 2025 and was filed against Linzer’s former firm, Coastal Equities (now known as Realta Equities). This complaint alleges that a customer lost over $6 million in speculative, risky, and unsuitable private investments recommended by Linzer.

Linzer has also been the subject of a second complaint that was made in January 2026.  This second complaint was filed against another of Linzer’s former firms, Great Point Capital, and alleges over $1 million in losses related to a real estate investment.  Both cases are still pending.

Background on Don Linzer

Don Linzer had been licensed with Great Point Capital from July 2023 to August 2024 at a Pittsburgh, Pennsylvania office.  He also was licensed with Coastal Equities (now Realta Equities) between January 2022 and July 2023.   

Can Great Point Capital Be Responsible for Linzer’s Conduct?

Under FINRA Rule 3110, broker-dealers like Great Point Capital and Coastal Equities must reasonably supervise the activity of its advisors.  The firms could be responsible for investor losses if they failed to reasonably supervise him.

Israels & Neuman Helps Victims of Investment Fraud in Pennsylvania

We represent investors throughout the United States as well as Pennsylvania, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.    If you were a client of Don Linzer and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Linzer’s BrokerCheck Report

Contact Us for a Free and Confidential Consultation

Call us today at (720) 599-3505 or (206) 795-5798

or fill out our contact form to learn more about your rights. We have experience representing Pennsylvania investors and are ready to help you recover what you deserve.

Allegations Regarding Andres Peck

According to FINRA, Morgan Stanley allowed Andres Peck to resign regarding “allegations involving potential undisclosed outside activities and review of a transaction out of a client’s account for [Peck]’s benefit (which [Peck] indicated was mistakenly entered)”.  Generally, advisors must disclose all outside businesses that they operate, and they must have permission from their brokerage firm for every investment product that they sell. 

Background on Andres J. Peck

Andres Peck was licensed with Morgan Stanley from June 2023 to June 2026 at an Omaha, Nebraska office.  He was also previously licensed with other firms beginning in 2020, and ran a company called Supporting Visions LLC, which is believed to have been involved in soliciting investments.

Can Morgan Stanley Be Liable for its Customers’ Investment Losses?

FINRA Rule 3110 requires securities brokerage firms like Morgan Stanley to adequately supervise the activity of its advisors.  Morgan Stanley could be responsible for investor losses if it failed to reasonably supervise him. 

Israels & Neuman Represents Victims of Investment Fraud in Nebraska

We represent investors throughout the United States as well as Nebraska.  If you were a client of Andres J. Peck and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Peck’s BrokerCheck Report

Contact Israels & Neuman for a Free and Confidential Consultation

Call us today at (720) 599-3505 or (206) 795-5798

or fill out our contact form to learn more about your rights. We have experience representing Nebraska investors and are ready to help you recover what you deserve.

Allegations Against Dejan Bucevski

According to BrokerCheck, Dejan Bucevski was the subject of a customer complaint filed against Morgan Stanley.  The customer has alleged that Bucevski invested the client’s money in a private motion picture investment that was not approved by Morgan Stanley.  Financial advisors must have permission from their brokerage firm for every financial product that they sell to customers.  The customer alleged to have lost $580,000.

Background on Dejan Bucevski

Dejan Bucevski has been licensed with Morgan Stanley since June 2017  at a Miami, Florida office.  Bucevski had been licensed with other firms since 2013.

Can Morgan Stanley Be Responsible for its Customers’ Investment Losses?

Under FINRA Rule 3110, broker-dealers like Morgan Stanley must reasonably supervise the activity of its advisors.  Morgan Stanley could be responsible for investor losses if it failed to reasonably supervise him.

Israels & Neuman Represents Residents of Florida

We represent investors throughout the United States as well as Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  Attorney David Neuman is licensed to practice law in Florida, and we have represented numerous investors in Florida in the past.  If you were a client of Dejan Bucevski and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Bucevski’s BrokerCheck Report

Contact Israels & Neuman for a Free and Confidential Consultation

Call us today at (720) 599-3505 or (206) 795-5798

or fill out our contact form to learn more about your rights.

Allegations Against Joseph Endoso and Linqto’s Founder, William Sarris

The U.S. Attorney’s Office for the Southern District of New York filed a press release regarding Joseph Endoso, who pleaded guilty in connection with his participation in a fraudulent scheme at Linqto.  Joseph Endoso and founder, William Sarris were alleged to have engaged in fraud in the sales of pre-IPO shares.  Linqto was alleged to have “marketed itself as a way for ordinary investors to invest in private companies expected to eventually offer securities on a public exchange but whose stock, in the meantime, did not have readily identifiable prices. William Sarris abused his informational advantage over his customers: he manufactured false scarcity to drive up prices, he manipulated Linqto’s pricing model to maximize revenue while telling customers that they were buying at “market” prices, and he pushed markups far beyond what his own lawyers repeatedly warned him was lawful”.

Joseph Endoso pled guilty to one-count of broker-dealer fraud and one count of securities fraud.  He faces up to 20 years in prison.  Additionally, the Securities and Exchange Commission filed a civil case against Endoso and Sarris. The conduct allegedly happened between 2021 and 2024.

Background on Joseph Endoso

Joseph Endoso had been licensed with Enverra Capital from 2014 to February 2023.  He was also with Rainmaker Securities from November 2020 to January 2023.  He lived in Ross, California and was listed as the President of Linqto Capital.

Can Enverra Capital Be Responsible for Endoso’s Conduct?

Under FINRA Rule 3110, broker-dealers like Enverra Capital must reasonably supervise the activity of its advisors.  Enverra Capital could be responsible for its customers’ losses if it failed to reasonably supervise him.

Israels & Neuman Helps Victims of Investment and Securities Fraud Nationwide

We represent investors throughout the United States, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  If you invested in Linqto through Joseph Endoso and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Endoso’s BrokerCheck Report
• View Endoso’s Criminal Press Release

Contact Israels & Neuman for a Free and Confidential Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798

or fill out our contact form to learn more about your rights.  We are ready to help you recover the money you deserve.

Allegations Against Buddy Dean Mason

FINRA investigated Mason regarding allegations that he presented a customer with an investment opportunity “away” from his former brokerage firm, LPL Financial, and that the purported investment “resulted in losses”.  Generally, financial advisors must have permission from their brokerage firm for every investment that they sell.  Mason refused to respond to FINRA’s investigation regarding these allegations.

As such, FINRA barred him from the securities brokerage industry. 

Background on Buddy Mason

Buddy Mason was licensed with LPL Financial from August 2019 to January 2026 at a Lakeland, Florida office.  He was previously licensed with a number of other firms going back to 1987 and has also been the subject of two customer complaints in the last year, both of which settled.

Can LPL Financial Be Liable to its Customers for Mason’s Conduct?

Under FINRA Rule 3110, broker-dealers like LPL Financial must reasonably supervise the activity of its advisors.  LPL Financial could be responsible for investor losses if it failed to reasonably supervise him.

Israels & Neuman Helps Victims of Investment Fraud in Florida

We represent investors throughout the United States as well as Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  We have represented numerous investors in Florida in the past, and attorney David Neuman is licensed to practice law in Florida.  If you were a client of Buddy Mason and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Mason’s BrokerCheck Report
• View Mason’s FINRA AWC

Contact the Law Firm of Israels & Neuman for a Free and Confidential Consultation

Call us at (720) 599-3505 or (206) 795-5798

or fill out our contact form to learn more about your rights. We have experience representing Florida investors and are ready to help you recover the money you deserve.

Allegations Against John Perillo

According to FINRA’s BrokerCheck, Kestra Investment Services fired John Perillo regarding allegations of “Violation of Firm Policy with respect to borrowing funds from multiple clients and taking custody of client funds for the purpose of a bill pay service.”  Generally, financial advisors cannot borrow money from clients, with limited exceptions.  Moreover, advisors like Perillo must obtain permission to do so from their firms in advance.

Background on John J. Perillo

John Perillo was licensed with Kestra Investment Services from February 2023 to August 2026 at an Auburn Hills, Michigan office.  He was also previously licensed with UBS Financial Services in Troy, Michigan, and also ran a company called Affidare Private Wealth Management.

Can Kestra Investment Services Be Liable to its Customers for Jones’s Conduct?

FINRA Rule 3110 requires securities brokerage firms like Kestra Investment Services to adequately supervise the activity of its advisors.  Kestra Investment Services could be responsible for investor losses if it failed to reasonably supervise their advisors. 

Israels & Neuman Helps Recover Investment Losses in Michigan

We represent investors throughout the United States as well as Michigan.  Attorney Aaron Israels is licensed to practice law in Michigan and has offices in Ann Arbor and Grand Rapids.  If you were a client of John J. Perillo and believe he acted improperly, you may be entitled to recover your losses through FINRA arbitration.

• View Perillo’s BrokerCheck Report

Contact Israels & Neuman for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798

or fill out our contact form to learn more about your rights. We regularly represent Michigan residents and are ready to help you recover the money you deserve.

Allegations Regarding William Sandeman’s Suspension

FINRA investigated Sandeman regarding allegations that he “Sandeman recommended that 81 retail customers purchase and hold volatility-linked and non-traditional exchange-traded products (ETPs) as long-term investments. Sandeman made these recommendations without a reasonable understanding of the risks associated with the products and without a reasonable basis to believe that the recommendations were in the best interest of his retail customers.”  In October 2017, FINRA Regulatory Notice 17-32 reminded member firms and their associated persons that “many volatility-linked ETPs are highly likely to lose value over time. Accordingly, volatility-linked ETPs may be unsuitable for certain retail investors, particularly those who plan to use them as traditional buy-and-hold investments.”

To settle these allegations, Sandeman agreed to be barred from the securities brokerage industry.

Background on William Sandeman

William Sandeman was licensed with Wedbush Securities from 2000 to January 2025 at a Seattle, Washington office.  He was also licensed with a number of other firms since 1977.  Sandeman has been the subject of four customer complaints over his career.

Can Wedbush Securities Be Responsible for Customer Investment Losses?

Under FINRA Rule 3110, broker-dealers like Wedbush Securities must reasonably supervise the activity of its advisors.  The firms could be responsible for investor losses if it failed to reasonably supervise them.

Israels & Neuman Recovers Investment Losses for Customers in Washington

We represent investors throughout the United States as well as Washington, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  Attorney David Neuman is licensed to practice law in Washington, and our main office is located in downtown Seattle.  If you were a client of William Sandeman and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Sandeman’s BrokerCheck Report
• View Sandeman’s FINRA AWC

Contact Israels & Neuman for a Free Consultation

Call us today at (720) 599-3505 or (206) 795-5798

or fill out our contact form to learn more about your rights. We have experience representing Washington investors and are ready to help you recover what you deserve.

FINRA’s Allegations Regarding Robert Thompson

FINRA recently barred Bob Thompson from the securities brokerage industry.  It began its investigation after Thompson got fired by O.N. Equity Sales Company in October 2025 regarding allegations that he “misappropriated funds from a customer, acted as POA without firm consent and set up multiple shell companies designed as OBAs without disclosure or firm consent”.  He then refused to cooperate with FINRA’s investigation, which got him barred pursuant to FINRA Rule 8210.n

Robert Wayne Thompson’s Industry History

Bob Thompson was affiliated with O.N. Equity Sales Company from 2015 to October 2025.  He also previously worked with numerous other firms since 1980.  He worked in a Houston, Texas office.   He was also the subject of two customer complaints, one of which was made in 2025.

O.N. Equity Sales Company’s Potential Responsibility

Pursuant to FINRA Rule 3110, broker-dealers like ONESCO must reasonably supervise the activities of their representatives.  If a firm does not adequately supervise Thompson, it could be liable for any investor harm.

Israels & Neuman Helps Victims of Investment Fraud in Texas

Our firm represents investors throughout the country as well as Texas, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. 

If you were a client of Robert Thompson and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Robert Thompson FINRA AWC
• View Robert Thompson’s BrokerCheck Report

Contact Israels & Neuman for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798

or fill out our contact form to learn more about your rights. We have experience representing Texas investors and are ready to help you recover what you deserve.

Allegations Regarding Steven Schwartz’s BrokerCheck Report

According to BrokerCheck, a website maintained by FINRA, Steven Schwartz has been the subject of two customer complaints.  A 2026 complaint alleges that he recommended unsuitable, high-risk, speculative, and illiquid investments from 2016 to 2023.  The customer has alleged $1.4 million in losses, which allegedly came from real estate investments, private placements, and BDCs (business development companies).  Schwartz has denied all wrongdoing, according to BrokerCheck.

Background on Steven Schwartz

Steven Schwartz had been licensed with Centaurus Financial since 2010 at a Mercer Island, Washington office.  He was terminated by MetLife Securities in May 2010.

Can Centaurus Financial Be Responsible for Schwartz’s Conduct?

Under FINRA Rule 3110, broker-dealers like Centaurus Financial must reasonably supervise the activity of its advisors.  Centaurus Financial could be responsible for investor losses if it failed to reasonably supervise him.

Israels & Neuman Helps Investors Nationwide, Including in Washington

We represent investors throughout Washington, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  Attorney David Neuman is licensed to practice law in Washington, and we have an office in Seattle.   If you were a client of Steven Schwartz and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Schwartz’s BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798

or fill out our contact form to learn more about your rights. We have experience representing Washington investors and are ready to help you recover what you deserve.

Allegations Regarding Gregory Weido’s BrokerCheck Report

According to FINRA, Gregory Weido was the subject of a customer complaint filed against PFS Investments, also known as Primerica Financial Services.  The customer alleged losses of $600,000 in a promissory note that purportedly was not offered or approved by PFS Investments.  Thus, the complaint alleges that Weido engaged in an activity called “selling away”. 

Background on Gregory Weido

Gregory Weido had been licensed with PFS Investments from 2009 to December 2023  at a Satellite Beach, Florida office.  Weido also ran a company called Ollin, Inc.

Can PFS Investments Be Responsible for Weido’s Conduct?

Under FINRA Rule 3110, broker-dealers like PFS Investments must reasonably supervise the activity of its advisors.  PFS Investments could be responsible for investor losses if it failed to reasonably supervise him.

Israels & Neuman Helps Investors Nationwide, Including in Florida

We represent investors in Florida who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  Attorney David Neuman is licensed to practice law in Florida, and we have represented numerous investors in Florida in the past.  If you were a client of Gregory Weido and believe your financial advisor acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Weido’s BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We have experience representing Florida investors and are ready to help you recover what you deserve.

Allegations Regarding Rudy Anguiano’s Suspension

FINRA investigated Anguiano regarding allegations that he received $1.7 million from LPL customer accounts between 2023 and 2025.  Anguiano was alleged to have sent the money to an LLC which Anguiano controlled.  The customers did not authorize the transfers to the LLCs.

As such, FINRA barred Anguiano from the securities brokerage industry. 

Background on Rudy Anguiano

Rudy Anguiano was licensed with LPL Financial from April 2022 to December 2025 at a Brea, California office.  Anguiano was previously licensed with a number of other firms going back to 2007.  Anguiano was also fired by LPL Financial.

Can LPL Financial Be Responsible for Anguiano’s Conduct?

Under FINRA Rule 3110, broker-dealers like LPL Financial must reasonably supervise the activity of its advisors.  LPL Financial could be responsible for investor losses if it failed to reasonably supervise him.

Israels & Neuman Helps Investors Recover Losses in California

We represent investors throughout the United States as well as California, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  We have represented numerous investors in California in the past.  If you were a client of Rudy Anguiano and believe your financial advisor acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Anguiano’s BrokerCheck Report
• View Anguiano’s FINRA AWC

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We have experience representing California investors and are ready to help you recover what you deserve.

Allegations Regarding Kirt Carstens’s BrokerCheck Report

BrokerCheck discloses that Kirt Carstens has been the subject of five customer complaints.  The most recent complaint was made in May 2026.

The complaint alleges that a customer lost nearly $380,000 in a “non-traded preferred stock” recommended by Carstens.  The customer alleges that the investment was highly concentrated.

Background on Kirt Carstens

Kirt Carstens had been licensed with CreativeOne Securities since 2011 at an Arnolds Park, Iowa office.  The other four customer complaints made against Carstens were made between 2002 and 2007.

Can CreativeOne Securities Be Responsible for Carstens’s Conduct?

Under FINRA Rule 3110, broker-dealers like CreativeOne Securities must reasonably supervise the activity of its advisors.  CreativeOne Securities could be responsible for investor losses if it failed to reasonably supervise him.

Israels & Neuman Recovers Money for Investors Nationwide, Including in Iowa

We represent investors throughout Iowa, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  If you were a client of Kirt Carstens and believe your financial advisor acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Carstens’s BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We have experience representing Iowa investors and are ready to help you recover what you deserve.

Allegations Regarding Jayme Lemaire’s Suspension

FINRA investigated Lemaire regarding allegations that she  borrowed money from a firm customer.  Generally, advisors cannot borrow money from customers, with limited exceptions.  Moreover, advisors must get pre-approval from their firms to borrow money from a customer.  FINRA also alleged that she refused to cooperate with FINRA’s investigation.

As such, FINRA barred Lemaire from the securities brokerage industry. 

Background on Jayme Lemaire

Jayme Lemaire was licensed with Raymond James Financial from April 2021 to July 2025 at a Glastonbury, Connecticut office.  Lemaire was previously licensed with a number of other firms going back to 2001.  Lemaire was also the subject of five customer complaints, and she was also fined by the Connecticut Securities Commissioner.

Can Raymond James Financial Be Responsible for Lemaire’s Conduct?

Under FINRA Rule 3110, broker-dealers like Raymond James Financial must reasonably supervise the activity of its advisors.  Raymond James Financial could be responsible for investor losses if it failed to reasonably supervise him.

Israels & Neuman Helps Investors Nationwide, Including in Connecticut

We represent investors throughout the United States as well as Connecticut, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  We have represented numerous investors in Connecticut in the past.  If you were a client of Jayme Lemaire and believe your financial advisor acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Lemaire’s BrokerCheck Report
• View Lemaire’s FINRA AWC

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We have experience representing Connecticut investors and are ready to help you recover what you deserve.

Allegations Regarding Kirt Samuel’s BrokerCheck Report

BrokerCheck discloses that Kirt Samuel has been the subject of three customer complaints.  One complaint from 2016 settled for $1.8 million. 

The most recent complaint was made in June 2026. The complaint alleges that a customer lost money in private placements that were recommended by Samuel in 2020 and 2021.  The case was filed in FINRA arbitration.

Background on Kirt Samuel

Kirt Samuel had been licensed with PHX Financial since July 2018 at a New York, New York office.  Samuel was also the subject of a regulatory action by Massachusetts in 2024, and Samuel was required to be under heightened supervision by PHX Financial.

Can PHX Financial Be Responsible for Samuel’s Conduct?

Under FINRA Rule 3110, broker-dealers like PHX Financial must reasonably supervise the activity of its advisors.  PHX Financial could be responsible for investor losses if it failed to reasonably supervise him.

We Help Investors Nationwide, Including in New York

We represent investors throughout the country, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  If you were a client of Kirt Samuel and believe your financial advisor acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Samuel’s BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We have experience representing New York investors and are ready to help you recover what you deserve.

FINRA’s Allegations

FINRA barred Bertram Johnson from the securities industry in September 2026.  FINRA alleged that it began an investigation into Johnson after he was terminated by Merrill Lynch for allegedly misappropriating client funds.   After Johnson refused to respond to FINRA’s investigation, he was barred.

Bertram Johnson’s Industry History

Bertram Johnson was affiliated with Merrill Lynch from September 2024 to March 2026.  He also previously worked with Hantz Financial.  He worked in a Bloomfield Hills, Michigan office.   Johnson was also the subject of a customer complaint made in February 2026.

Merrill Lynch’s Potential Responsibility

Pursuant to FINRA Rule 3110, broker-dealers like Merrill Lynch must reasonably supervise the activities of their representatives.  If a firm does not adequately supervise Johnson, it could be liable for any investor harm.

Our firm represents investors throughout the country as well as Michigan, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  Attorney Aaron Israels is licensed to practice law in Michigan, and we have offices in Ann Arbor and Grand Rapids, Michigan.

If you were a client of Bertram Johnson and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Bertram Johnson FINRA AWC
• View Bertram Johnson’s BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We have experience representing Michigan investors and are ready to help you recover what you deserve.