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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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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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,…
Continue reading ›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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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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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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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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Tiffany Keigley of Tulsa, Oklahoma was “discharged” by Morgan Stanley in October 2024. In particular, Morgan Stanley alleged that it terminated Keigley’s registration surrounding allegations that she distributed “funds from a client’s account for the registered representative’s benefit”, according to FINRA’s BrokerCheck. If you lost money, you may be able to file a claim to…
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FINRA has filed a regulatory action against financial advisor, Shammi Samaroo of Sunrise, Florida in April 2025. NY Life filed a regulatory form, alleging that Samaroo was “permitted to resign” while under internal review for potential violations of “company policy”. NY Life’s company policy was not specifically identified. In May 2025, Samaroo advised FINRA, through…
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Did you invest in Grandway REIT Holdings, Inc.? You may be able to recover money through FINRA Arbitration. According to a Grandway press release from October 2022, the Grandway REIT is an income-producing real estate investment trust that has a portfolio of residential and commercial real estate investments throughout the United States. The investment strategy…
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