Did you invest with Ruben Frezzotti, formerly at Raymond James? We are looking into claims involving Ruben Frezzotti, who formerly was a representative of Raymond James and worked in a Coral Gables, Florida office. In September 2023, Frezzotti was fired by Raymond James. Raymond James’ Allegations Regarding Firing Ruben Frezzotti Information on Frezzotti’s termination is…
Continue reading ›
FINRA Allegations Against Brenton Ditto Elizabethtown, Kentucky — FINRA brought a regulatory action against Brenton Ditto of LPL Financial, alleging that he violated Regulation Best Interest (Reg BI) by recommending complex GNMA bonds. FINRA alleged that Ditto did not have a reasonable basis for the elderly client to invest in these GNMA bonds. To settle…
Continue reading ›
Customer Complaints and Investigation by FINRA FINRA began investigating James Walesa of Arkadios Capital in Park Ridge, Illinois, after a customer complaint was made in 2023. The customer filed a FINRA arbitration complaint and alleged that Walesa recommended a speculative private investment called AIU Alternative Care, Inc., (now known as Clearday, Inc.). AIU Alternative/Clearday was…
Continue reading ›
FINRA launched an investigation against Craft Capital Management stockbroker, Ruben Rojas-Salvador of New York City in July 2025 after receiving a tip. When FINRA reached out to Rojas-Salvador, he refused to sit for an on-the-record interview. This led to his expulsion under FINRA Rule 8210, which requires licensed advisors to respond to FINRA investigations. If…
Continue reading ›
Easterly ROCMuni High Income Municipal Bond Fund (RMHIX): What Happened? In early June 2025, the Easterly ROCMuni High Income Municipal Bond Fund (ticker: RMHIX) suffered a dramatic collapse—its net asset value plunged nearly 50%, dropping to roughly $2.95 per share. The dramatic decline in its price could largely be due to the fact that this…
Continue reading ›
Allegations According to allegations disclosed on FINRA’s BrokerCheck, Ejiro Okuma of Atlanta, Georgia, was permitted to resign by Equitable Advisors in June 2025. Equitable Advisors disclosed that Okuma “resigned after the Firm suspended him due to allegations of misappropriation by a non-Equitable Advisors’ client”. The resignation occurred just about two weeks after a customer complaint…
Continue reading ›
According to FINRA’s BrokerCheck, Edward Hill of LPL Financial has been the subject of five customer complaints since 2023. Each of the complaints involves structured notes. Structured notes are financial instruments that are linked to an underlying index, stock, or currency. While the notes purport to pay income to the note holder, the notes can…
Continue reading ›
Did you invest in cannabis investments and other stocks from Eric Kleiner, formerly of Morgan Stanley? The securities and investment loss law firm of Israels & Neuman is reviewing claims made regarding Eric Kleiner, who formerly worked at Morgan Stanley in a New York City office. He was fired by Morgan Stanley in March 2025.…
Continue reading ›
At Israels & Neuman, PLC, we represent investors nationwide who have suffered financial losses due to broker misconduct. One recent case we are monitoring closely in Portland, Oregon involves Ali F. Chehab, a former Merrill Lynch and Equitable Advisors broker now under formal investigation by FINRA. FINRA has alleged various violations, including unauthorized trading and…
Continue reading ›
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. …
Continue reading ›
