Have you suffered financial losses with advisor Jason Head in Tuscaloosa, Alabama? The securities and investment fraud law firm of Israels & Neuman is currently examining claims by FINRA against this advisor, who served as a representative for Morgan Stanley from August 2019 to January 2024. He has been barred from the securities brokerage industry by FINRA due to allegations of stealing or converting customer funds.

Moreover, Head faces criminal charges of bank embezzlement in the U.S. District Court for the Northern District of Alabama. Morgan Stanley has also received two other customer complaints concerning his conduct.

Broker-dealers are obligated to adequately supervise their advisors. Failure to do so may result in liability for investor losses.

Israels & Neuman represent investors nationwide, including those in Alabama. We have successfully advocated for thousands of investors against many brokerage firms throughout the country.

For more information, you can view FINRA’s AWC regarding Jason Head HERE.

Jason Head’s BrokerCheck Report is available HERE.

If you lost money with Jason Head or Morgan Stanley, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

If you’re a past or present client of financial advisor Richard Ceffalio from Arlington Heights, Illinois, our law firm is investigating allegations against him. In May 2024, Ceffalio was terminated by LPL Financial due to claims that he solicited a loan from a client. Typically, financial advisors are prohibited from borrowing from clients, with few exceptions.

FINRA launched an investigation into Ceffalio’s actions. Additionally, he has faced four customer complaints since July 2023, including an allegation of forging a client’s signature on a line of credit agreement.

Ceffalio was employed with LPL Financial from November 2019 until May 2024, working out of an Arlington Heights, Illinois office. He also previously worked at Wells Fargo.

Under securities rules and regulations, LPL Financial is mandated to implement written supervisory and compliance procedures to oversee Ceffalio’s conduct. If LPL Financial failed to adequately supervise him, they could be held liable for any client losses.

Israels & Neuman represents investors nationwide, including those in the Chicagoland area. Attorneys Aaron Israels and David Neuman are licensed to practice in Illinois. Attorney Neuman is a native of the Chicago suburbs and attended the University of Illinois and Northern Illinois University.

You can access Richard Ceffalio’s BrokerCheck report here.

If you lost money with Richard Ceffalio or LPL Financial, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

CHICAGO, ILLIONOIS Did you invest with financial advisor Howard Kavinsky in Chicago, Illinois? Israels & Neuman is reviewing claims made by FINRA against Howard Kavinsky, who was a representative of B. Riley Wealth Management and National Securities Corp. Near the end of 2024, he was barred from the securities brokerage industry by FINRA regarding numerous allegations.

FINRA alleged that this advisor created consolidated reports that contained false information, including overstating account balances. The consolidated reports also showed investments in a purported hedge fund, even though Kavinsky did not invest the customers’ money in a hedge fund. He also allegedly provided false information to FINRA as part of its investigation.

Howard Kavinsky was registered with National Securities Corp. from July 2019 to July 2022 and with B. Riley Wealth Management from July 2022 to June 2024 and worked in Chicago, Illinois. He was also the subject of several liens, settlements, and compromises with creditors between 2017 and 2019.

Broker-dealers like B. Riley Wealth Management and National Securities Corp. must reasonably monitor its advisors. If the firm fails to do so, they could be liable for investor losses.

Israels & Neuman have an office in Chicago. Attorneys Aaron Israels and David Neuman are both licensed to practice law in Illinois and the U.S. District Court for the Northern District of Illinois. Mr. Neuman grew up in the Chicago area and went to the University of Illinois.

FINRA’s AWC Regarding Howard Kavinsky can be found HERE

Howard Kavinsky’s BrokerCheck Report can be found HERE

If you lost money with Howard Kavinsky, National Securities Corp., or B. Riley Wealth Management, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

BAKER CITY, OREGON Are you a former client of financial advisor Jeffrey Higgins? Our Pacific Northwest law firm is looking into allegations against Jeffrey Higgins, who previously worked with Western International Securities and Financial West Group.

Higgins was expelled from the securities brokerage industry by FINRA after he refused to respond to an investigation. FINRA was investigating him regarding allegations that he stole or misappropriated money from his customers beginning in 2007. This news story was featured in the Baker City Herald.

Jeffrey Higgins was registered with Western International Securities from August 2017 to June 2024. He also previously worked with Financial West Group from 1997 to August 2017 and worked in Baker City, Oregon. He was also fired by Western International Securities in 2024.

Israels & Neuman has recovered millions of dollars for investors in the past, including numerous investors in Oregon. Our firm has sued many brokerage firms throughout the country, and we have offices in Seattle WA, Vancouver WA, Denver CO, and Phoenix AZ.

View FINRA AWC HERE View BROKERCHECK REPORT HERE

If you lost money with Jeffrey Higgins, or Western International Securities, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.