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…
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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.…
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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…
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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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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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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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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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