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.

Glenn Brandon was with BB&T Securities from September 2015 to February 2021. He has worked at branch offices in Birmingham, Alabama. Brandon was also allowed to resign by BB&T Securities, and he’s been the subject of seven customer complaints.

Brokerage firms like BB&T Securities have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Alabama. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view G Brandon BrokerCheck Report

If you lost money with Glenn Brandon or BB&T Securities, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

BIRMINGHAM, ALABAMA – Have you lost money with financial advisor Kevin McCallum of Birmingham, Alabama? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kevin McCallum. FINRA alleged that McCallum recommended that several of his clients concentrate their investments in BDCs, or business development companies.

FINRA alleged that the investments in BDCs made by McCallum lost his investors over $1.2 million. To settle these allegations, McCallum agreed to a one-year suspension, a $25,000 fine, disgorgement of $14,000, and restitution of over $1.2 million for the BDC losses.

Kevin McCallum was a financial advisor and registered representative of LPL Financial from May 2012 to July 2019. He was also with Cadence Bank for the same time period. He worked at a branch office in Birmingham, Alabama. McCallum has been the subject of 5 customer complaints.

Brokerage firms like LPL Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Alabama in the past. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against LPL Financial.

View FINRA AWC: McCallum, Kevin FINRA AWC

View BrokerCheck: McCallum, Kevin BrokerCheck 6.22.21

If you lost money with Kevin McCallum or LPL Financial, please CONTACT ISRAELS & NEUMAN Law Firm at (720) 599-3505 or (206) 795-5798 for a free evaluation of your case.